Ned T. 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.
Ned Thomas Smith was a registered financial professional .
Ned is a previously registered financial professional and started their career in finance in 2003. Ned had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
May 10, 2011 - September 26, 2011
NMS CAPITAL ASSET MANAGEMENT, INC.
April 15, 2011 - December 22, 2017
ARQUE CAPITAL, LTD.
June 1, 2009 - February 24, 2011
MORGAN STANLEY
June 1, 2009 - February 24, 2011
MORGAN STANLEY
April 18, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 18, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 13, 2006 - June 27, 2006
SECURIAN FINANCIAL SERVICES, INC.
January 10, 2006 - June 27, 2006
SECURIAN FINANCIAL SERVICES, INC.
October 15, 2003 - December 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2003 - January 9, 2004
IDS LIFE INSURANCE COMPANY
October 15, 2003 - December 7, 2005
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
NMS CAPITAL ASSET MANAGEMENT, INC.
CRD#: 149678 / SEC#: 801-70544
Contact information
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.
