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Albert F. Demange

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CRD#: 835551
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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.

Albert Francis Demange, who also goes by Al Demange, was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1977. Albert had worked at 9 firms and has passed the Series 40 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Al Demange

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 12, 1991 - December 3, 1992

R.W. SMITH & ASSOCIATES, LLC

BD
CRD#: 16605
Past

January 2, 1990 - December 7, 1990

ADAMS, BLOCK & COE SECURITIES, INC.

BD
CRD#: 19439
Past

May 4, 1989 - December 18, 1989

DOUGHERTY DAWKINS LLC

BD
CRD#: 7442
Past

November 4, 1988 - March 6, 1989

A. WEBSTER DOUGHERTY & CO., INCORPORATED

BD
CRD#: 7136
Past

October 7, 1987 - June 23, 1988

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Past

March 23, 1987 - April 3, 1987

WORLD FINANCIAL SERVICES, INC.

BD
CRD#: 18461
Past

February 21, 1984 - March 6, 1987

BRISLIN & WORAM

BD
CRD#: 7180
Past

September 20, 1983 - April 11, 1985

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

March 25, 1982 - September 21, 1983

BRISLIN & WORAM

BD
CRD#: 7180
Past

April 1, 1977 - November 27, 1981

ALLEN & COMPANY LLC

BD
CRD#: 1042

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 40
Date: 3/28/1977
Registered Principal Examination

Current Firm

RS
R.W. SMITH & ASSOCIATES, LLC
R.W. SMITH & ASSOCIATES, INC. | R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605 / SEC#: , 8-34240

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Phone number
(201) 716-5150
Established
New Jersey since 05/12/2014
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TOWN SQUARE HOLDING, LLCMANAGING MEMBER
FERRERI, CHRISTOPHER CHARLESPRESIDENT1677406
GEORGE, MICHAEL THEODOREFINOP1265239
PURPORA, RONALD ANTHONYDIRECTOR1665726
RASMUSSEN, DENIEN LYNNCOO, CCO1008607
SMITH, EDWARD JOHNOWNER4161601

Disclosures

Regulatory Event1

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.

Company Information

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

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