Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Jay Smith is a registered representative with J.P. Morgan Securities LLC in Louisville, CO. Eric Smith has been in the securities industry since 2008. Eric Smith has a Series 7, Series 66 and Series 9. Eric Smith is also registered with the state of Colorado and Texas. Eric Jay Smith has worked with TIAA-CREF Individual & Institutional Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Investors Capital Corp., and Royal Alliance Associates, Inc. in the past.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CO
06/23/2022 - Present
J.p. Morgan Securities LLC (LOUISVILLE CO)
CO
04/26/2016 - 07/25/2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (BOULDER CO)
MA
06/01/2012 - 04/21/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WORCESTER MA)
MA
10/16/2009 - 05/18/2012
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
AZ
12/10/2007 - 10/07/2009
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
BOTH
Issued 02/13/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/04/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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