Dakota J. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dakota Jordon Smith was a registered financial professional .
Dakota is a previously registered financial professional and started their career in finance in 2016. Dakota had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - December 17, 2020
TD AMERITRADE, INC.
February 26, 2018 - December 17, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - December 17, 2020
TD AMERITRADE, INC.
February 14, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 4, 2016 - February 26, 2018
SCOTTRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 7/22/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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