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Adam Jay Smith

MM Ascend Life Investor Services, LLC

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About Adam Jay Smith

Adam Smith is a licensed securities professional in Ohio. Adam's current firm is MM Ascend Life Investor Services, LLC, where Adam is registered as a broker. Previously Adam was registered with FIFTH THIRD SECURITIES, INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, and FIDELITY BROKERAGE SERVICES LLC.

Firm Information

Adam Smith is currently registered with MM Ascend Life Investor Services, LLC. MM Ascend Life Investor Services, LLC is a Limited Liability Company formed in 2021 that is registered in all 50 states and the District of Columbia. It offers other advisory services and is not currently providing active advisory services. It maintains 12 licensed agents, 12 investment adviser representatives, 12 registered representatives, and 2 investment advisory functions. The firm has filed four regulatory event disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

124

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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maintaining registration but not actively providing advisory services

Maintaining registration but not actively providing advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

Maintaining registration but not serving clients

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Adam Smith’s Registration & Firm History

OH

04/05/2016 - Present

MM Ascend Life Investor Services, LLC (CINCINNATI OH)

OH

11/24/2014 - 03/28/2016

FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)

OH

08/18/2014 - 11/17/2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CINCINNATI OH)

KY

07/11/2012 - 04/01/2013

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

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Licenses & Designations

BC

Issued 05/09/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/10/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Adam Jay Smith. Review regulatory record here.
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