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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Edward Smith is an active broker and investment advisor representative. Jonathan Edward Smith is registered with Morgan Stanley in Boston, Massachusetts, and has been in the industry since September 10, 1970. Jonathan Edward Smith is also registered with the state of Texas as an investment advisor representative. Jonathan Edward Smith has been previously employed by Citigroup Global Markets Inc., Lehman Brothers Inc., and Shearson Hayden Stone Inc. Jonathan Edward Smith has passed the Series 63, Series 65, Series 7TO, SIE, PC, and Series 1 exams. Jonathan Edward Smith has been working with Morgan Stanley since June 2009 and with Morgan Stanley Private Bank, National Association since January 2015.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MA
07/16/2024 - Present
Wealthpenn.comllc (Boston MA)
MA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
11/22/1977 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/17/1976 - 11/22/1977
SHEARSON HAYDEN STONE INC.
NA
11/08/1974 - 11/17/1976
SHEARSON HAYDEN STONE INC.
NA
09/11/1970 - 11/08/1974
HAYDEN STONE INC.
IA
Issued 10/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/4/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/27/1975
Series 12 - NYSE Branch Manager Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/10/1977
PC - AMEX Put and Call Exam
BC
Issued 12/1/1967
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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