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Jonathan H Smith

Mutual OF America Securities LLC

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About Jonathan H Smith

Jonathan Smith is a financial professional with over 13 years of experience in the industry. He is currently registered with Mutual of America Securities LLC, a firm based in Providence, Rhode Island. Before joining Mutual of America Securities LLC, Jonathan was with ALIGHT FINANCIAL SOLUTIONS, LLC in Charlotte, North Carolina. He has also worked with Northwestern Mutual Investment Services, LLC in Charlotte, North Carolina. Jonathan has earned the Series 6, Series 7, Series 63, and Series 66 licenses. He is licensed in multiple states, including District of Columbia, Georgia, Maryland, North Carolina, South Carolina, Virginia, and West Virginia.

Firm Information

Jonathan Smith is currently registered with Mutual OF America Securities LLC. Mutual OF America Securities LLC is a Limited Liability Company formed on June 29, 1990. The firm is registered in all 50 states and the District of Columbia, as well as with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

346

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.

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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Jonathan Smith’s Registration & Firm History

RI

11/22/2023 - Present

Mutual OF America Securities LLC (Providence RI)

NC

07/31/2019 - 11/09/2023

ALIGHT FINANCIAL SOLUTIONS, LLC (CHARLOTTE NC)

NC

01/27/2009 - 03/05/2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 10/14/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/09/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/05/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/11/2016

Series 7 - General Securities Representative Examination

BC

Issued 01/26/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jonathan H Smith.
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