Jeffrey T. Smith
Professional Summary
Jeffrey T. Smith, who also goes by Jeffrey Thomas Smith, Jeffrey Smith, Jeff Smith, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky. Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2015. Jeffrey has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeffrey Thomas Smith, Jeffrey Smith, Jeff Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
DIGITAL BROKERAGE SERVICES LLC
Contact Information
Main Address
499 Washington Blvd, Jersey City, NJ 07310Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262Phone Number
(833) 327-3444Established
Delaware since 02/27/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/4/2016)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2021About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2021About the Series 10 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jeffrey T. Smith's CRS (Customer Relationship Summary).
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