Cheryl 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.
Cheryl Ann Smith, who also goes by Cheryl Ann Luciano, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 1952. Cheryl had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2014 - July 2, 2021
OSAIC INSTITUTIONS, INC.
November 3, 2014 - July 2, 2021
OSAIC INSTITUTIONS, INC.
July 1, 1999 - November 1, 2014
OSAIC INSTITUTIONS, INC.
November 9, 1998 - July 9, 1999
INVEST FINANCIAL CORPORATION
September 8, 1995 - November 19, 1998
CCBT BROKERAGE DIRECT, INC.
March 8, 1994 - August 26, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
January 26, 1994 - March 7, 1994
BAYBANKS BROKERAGE SERVICES, INC.
February 8, 1993 - January 21, 1994
VERAVEST INVESTMENTS, INC.
January 22, 1992 - January 22, 1993
IFMG SECURITIES, INC.
March 8, 1990 - January 27, 1992
TUCKER ANTHONY INCORPORATED
July 22, 1987 - March 8, 1990
EATON VANCE DISTRIBUTORS, INC.
November 1, 1978 - January 21, 1986
TUCKER ANTHONY INCORPORATED
July 7, 1952 - November 1, 2014
OSAIC INSTITUTIONS, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
