Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ian? Claim Your ProfileIan William Smith is a financial advisor with over 14 years of experience in the financial services industry. Ian Smith is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Ian Smith has previously worked with TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, SANFORD C. BERNSTEIN & CO., LLC and ALLIANCEBERNSTEIN INVESTMENTS, INC. Ian Smith is licensed to provide financial advice in multiple states, including New York, California, Colorado, Connecticut, Delaware, Florida, Georgia, Massachusetts, Minnesota, New Jersey, North Carolina, Pennsylvania, and Rhode Island. Ian Smith has experience working with high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
09/12/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/15/2016 - 08/18/2022
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NY
07/08/2015 - 04/13/2016
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
TN
07/14/2010 - 01/26/2016
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NASHVILLE TN)
BOTH
Issued 06/01/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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