Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rufus? Claim Your ProfileRufus H. Smith is a financial advisor with over 15 years of experience in the industry. Rufus is currently registered with J.P. Morgan Securities LLC in Georgia, Illinois, Tennessee, and Texas. Prior to joining J.P. Morgan, Rufus worked at Wells Fargo Clearing Services, LLC, Credit Suisse Securities (USA) LLC, and Sanford C. Bernstein & Co., LLC. Rufus specializes in working with high net worth individuals, corporations, and pension and profit-sharing plans. He is also a registered principal, having passed the Series 9 and Series 10 exams. Rufus is committed to providing his clients with personalized financial advice and guidance.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
GA
10/03/2022 - Present
J.p. Morgan Securities LLC (Atlanta GA)
IL
02/04/2016 - 02/23/2017
WELLS FARGO CLEARING SERVICES, LLC (ORLAND PARK IL)
IL
03/26/2013 - 03/02/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
IL
03/14/2012 - 02/27/2013
SANFORD C. BERNSTEIN & CO., LLC (CHICAGO IL)
IL
01/17/2007 - 09/08/2011
MANAGERS DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 06/11/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/01/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/16/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2007
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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