Paula A. 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.
Paula Andrea Smith, who also goes by Paula Andrea Cadavid, Paula Smith, was a registered financial professional .
Paula is a previously registered financial professional and started their career in finance in 2018. Paula had worked at 2 firms and has passed the Series 66, 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
June 4, 2019 - April 20, 2022
CONNING INVESTMENT PRODUCTS, INC.
June 4, 2018 - May 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2018 - May 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | |
| BRADFORD, LINWOOD EARLE JR | CHAIR BOARD OF DIRECTORS | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | 2638773 |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 517,711,336 |
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.
