Corinne M. 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.
Corinne Marie Smith, who also goes by Corinne Marie Russo, Corinne Marie Scudder, was a registered financial professional .
Corinne is a previously registered financial professional and started their career in finance in 1980. Corinne had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3 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
September 26, 2012 - May 30, 2015
PURSHE KAPLAN STERLING INVESTMENTS
January 7, 2010 - September 19, 2012
LEBENTHAL ASSET MANAGEMENT, LLC
February 5, 2008 - September 19, 2012
LEBENTHAL & CO., LLC
November 3, 2006 - March 4, 2008
IDB CAPITAL CORP.
October 1, 1999 - November 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 3, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 2, 1991 - September 22, 1999
UBS FINANCIAL SERVICES INC.
October 22, 1980 - January 30, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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