RS
Richard A. Smith
AMERICAN CENTURY INVESTMENT SERVICES
New York, NY 10017
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CRD#: 6109979
RS
Professional summary
Richard Andrew Smith, who also goes by Rich Smith, Richard A. Smith, Richard Smith, is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2013. Richard has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rich Smith | Richard A. Smith | Richard Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Andrew Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 11, 2015 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 330 Madison, New York, NY 10017Office #2: 67 E Park Place, Morristown, NJ 07960BD
CRD#: 17437
New York, NY
Past
February 13, 2013 - April 21, 2014
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/8/2018)
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Alaska(11/8/2018)
RR
Arizona(11/8/2018)
RR
Arkansas(11/8/2018)
RR
California(11/8/2018)
RR
Colorado(11/8/2018)
RR
Connecticut(11/8/2018)
RR
Delaware(11/8/2018)
RR
District of Columbia(11/8/2018)
RR
Florida(11/8/2018)
RR
Georgia(11/8/2018)
RR
Hawaii(11/8/2018)
RR
Idaho(11/8/2018)
RR
Illinois(11/8/2018)
RR
Indiana(11/8/2018)
RR
Iowa(11/8/2018)
RR
Kansas(11/8/2018)
RR
Kentucky(11/8/2018)
RR
Louisiana(11/8/2018)
RR
Maine(11/8/2018)
RR
Maryland(11/8/2018)
RR
Massachusetts(11/8/2018)
RR
Michigan(11/8/2018)
RR
Minnesota(11/8/2018)
RR
Mississippi(11/8/2018)
RR
Missouri(8/11/2015)
RR
Montana(11/8/2018)
RR
Nebraska(11/8/2018)
RR
Nevada(11/8/2018)
RR
New Hampshire(11/8/2018)
RR
New Jersey(11/8/2018)
RR
New Mexico(11/8/2018)
RR
New York(8/11/2015)
RR
North Carolina(11/8/2018)
RR
North Dakota(11/8/2018)
RR
Ohio(11/8/2018)
RR
Oklahoma(11/8/2018)
RR
Oregon(11/8/2018)
RR
Pennsylvania(11/8/2018)
RR
Puerto Rico(10/23/2025)
RR
Rhode Island(11/8/2018)
RR
South Carolina(11/8/2018)
RR
South Dakota(11/8/2018)
RR
Tennessee(11/8/2018)
RR
Texas(11/8/2018)
RR
Utah(11/8/2018)
RR
Vermont(11/8/2018)
RR
Virgin Islands(10/23/2025)
RR
Virginia(11/8/2018)
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Washington(11/8/2018)
RR
West Virginia(11/8/2018)
RR
Wisconsin(11/8/2018)
RR
Wyoming(11/8/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENT SERVICES INC.
AMERICAN CENTURY BROKERAGE | TWENTIETH CENTURY SECURITIES, INC. | PLAZA SECURITIES CORPORATION | AMERICAN CENTURY INVESTMENT SERVICES, INC. | AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4500 Main Street, Kansas City, MO 64111
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(800) 345-2021
Established
Missouri since 04/18/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
