Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tara? Claim Your ProfileTara Smith is a registered representative with TD Securities (usa) LLC. Tara has been in the financial industry since 2008 and holds a Series 7, Series 24, Series 63, Series 79, and Series 99 license. Tara has experience working with clients in California and New York. Previously, Tara was employed by COWEN AND COMPANY, MHT SECURITIES, LP, CONSORTIUM FINANCE SECURITIES LLC, INSTREAM PARTNERS LLC, and HARRIS WILLIAMS & CO..
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.
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.
1
2
NY
03/06/2024 - Present
TD Securities (usa) LLC (New York NY)
CA
10/01/2020 - 04/11/2024
COWEN AND COMPANY (San Francisco CA)
CA
11/15/2013 - 10/21/2020
MHT SECURITIES, LP (SAN FRANCISCO CA)
CA
04/04/2013 - 07/24/2014
CONSORTIUM FINANCE SECURITIES LLC (SAN FRANCISCO CA)
CA
11/18/2010 - 04/09/2013
INSTREAM PARTNERS LLC (SUNNYVALE CA)
CA
09/08/2008 - 10/20/2010
HARRIS WILLIAMS & CO. (SAN FRANCISCO CA)
BC
Issued 08/07/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Tara Smith is the right advisor for you? Invested Better is here to help.
