Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Otis? Claim Your ProfileOtis L. Smith is an active investment advisor representative with The Ayco Company, LP. Otis has been in the financial services industry since October 3, 2002. Otis is registered with the state of Georgia and Texas. Otis has Series 3, 7, 63, and 65 licenses.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
GA
01/23/2022 - Present
THE Ayco Company, LP (Atlanta GA)
GA
12/19/2007 - 01/04/2021
MERCER ALLIED COMPANY, L.P. (ATLANTA GA)
NY
09/22/2003 - 12/19/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
12/20/2002 - 12/11/2003
MERCER ALLIED COMPANY, L.P. (COHOES NY)
NY
08/30/2001 - 09/07/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
06/13/2001 - 08/20/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 08/19/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2001
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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