Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Smith is a financial advisor with Schwab Wealth Advisory, Inc., a registered investment advisor. Jeffrey has been in the financial services industry since 2006. He is a Certified Financial Planner and has a Series 7, Series 9, Series 10, Series 65, and Series 66 licenses. Jeffrey Smith has experience providing financial advice to individuals and businesses. He is registered to provide investment advice in Arizona, Texas, and other states. Jeffrey Smith is committed to helping clients achieve their financial goals.
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.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
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2
CA
01/04/2022 - Present
Schwab Wealth Advisory, Inc. (SAN FRANCISCO CA)
AZ
08/22/2011 - 10/06/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
AZ
10/16/2007 - 01/29/2008
LPL FINANCIAL CORPORATION (MESA AZ)
AZ
10/25/2004 - 10/31/2007
1ST GLOBAL CAPITAL CORP. (MESA AZ)
NY
12/02/2003 - 11/05/2004
MONY SECURITIES CORPORATION (NEW YORK NY)
NY
02/10/2003 - 12/02/2003
TRUSTED SECURITIES ADVISORS CORP. (NEW YORK NY)
BOTH
Issued 08/26/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/02/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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