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Investment Adviser Representative Summary

STEPHANIE MARY SMITH MS. (CRD# 5000149)
Alternate Names: STEPHANIE MARY JEUNETTE MS., STEPHANIE MARY SMITH

The report summary provides an overview of the Investment Adviser Representative's professional background and conduct. The information contained in this report has been provided by the Investment Adviser Representative, investment adviser and/or securities firms, and/or securities regulators as part of the states' investment adviser registration and licensing process. The information contained in this report was last updated by the Investment Adviser Representative, a previous employing firm, or a securities regulator on 10/01/2018.

CURRENT EMPLOYERS

TFO-TDC, LLC
IARD# 124407
202 WEST BOSCAWEN ST.
WINCHESTER, VA  22601
Registered with this firm since: 06/26/2014

ONE TO ONE, LLC
IARD# 284717
1440 ARROWHEAD ROAD
MAUMEE, OH  43537
Registered with this firm since: 03/07/2017


QUALIFICATIONS


This Investment Adviser Representative is currently registered in 2 jurisdiction(s).

Is this Investment Adviser Representative currently suspended with any jurisdiction? No

Note: Not all jurisdictions require IAR registration or may have an exemption from registration.
Additional information including this individual's qualification examinations and professional designations is available in the Detailed Report.

REGISTRATION HISTORY


This Investment Adviser Representative was previously registered with the following Investment Adviser firms:

FIRM (IARD#) - LOCATION REGISTRATION DATES
LPL FINANCIAL LLC (IARD# 6413) -  WINCHESTER, VA
01/03/2011 - 01/28/2013
LPL FINANCIAL CORPORATION (IARD# 6413) -  WINCHESTER, VA
12/06/2007 - 07/02/2010
AMERICAN GENERAL SECURITIES INCORPORATED (IARD# 13626) -  WINCHESTER, VA
11/01/2007 - 12/10/2007
For additional registration and employment history details as reported by the individual, refer to the Registration and Employment History section of the Detailed Report.

DISCLOSURE INFORMATION


Disclosure events include certain criminal charges and convictions, formal investigations and disciplinary actions initiated by regulators, customer disputes and arbitrations, and financial disclosures such as bankruptcies and unpaid judgments or liens.
Are there events disclosed about this Investment Adviser Representative? No

BROKER DEALER INFORMATION


This individual currently is registered as an investment adviser representative and previously was registered as a broker. For more information about this individual's record as a broker, visit FINRA's BrokerCheck website at: http://www.finra.org/brokercheck