Geoffrey B. 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.
Geoffrey Beach Smith, who also goes by Jeff Smith, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1975. Geoffrey had worked at 15 firms and has passed the Series 63, SIE, PC, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2005 - September 10, 2018
CU INVESTMENT SOLUTIONS LLC
April 8, 2004 - October 18, 2005
WESCORP INVESTMENT SERVICES, LLC
February 3, 2003 - March 26, 2004
PENSON FINANCIAL SERVICES, INC.
August 3, 2001 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
September 13, 2000 - August 7, 2001
NBC CAPITAL MARKETS GROUP, INC.
September 25, 1998 - September 13, 2000
KEYBANC CAPITAL MARKETS INC.
March 2, 1998 - September 28, 1998
RBC CAPITAL MARKETS, LLC
June 5, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 4, 1993 - June 5, 1997
RAUSCHER PIERCE REFSNES, INC.
January 31, 1992 - August 3, 1993
SERVICE ASSET MANAGEMENT COMPANY
August 10, 1989 - January 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1984 - August 11, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
December 13, 1983 - May 29, 1984
KIDDER, PEABODY & CO. INCORPORATED
June 16, 1983 - January 4, 1984
CONTISECURITIES, INC.
November 20, 1975 - February 28, 1983
GOLDMAN SACHS & CO. LLC
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
PC
Date: 1/14/1984
AMEX Put and Call ExamSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 8
Date: 10/20/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CU INVESTMENT SOLUTIONS LLC
CRD#: 43753 / SEC#: , 8-50400
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLOYA CORPORATE FCU | OWNER | |
| CATALYST FEDERAL CREDIT UNION | OWNER | |
| CORPORATE AMERICA CREDIT UNION | OWNER | |
| MILLENNIUM CORPORATE CREDIT UNION | OWNER | |
| TRICORP FEDERAL CREDIT UNION | OWNER | |
| VOLUNTEER CORPORATE CREDIT UNION | OWNER | |
| BECKER, JOSHUA DAMON | CHIEF OPERATING OFFICER | 5784666 |
| JACKSON, MATTHEW DAVID | CEO/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 3251494 |
| THOMAS, BRADFORD LOWELL | CHIEF FINANCIAL OFFICER | 6180244 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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