Individual Firm
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LYNN SMERALDO
Lynn Helfaer Smeraldo
CRD#: 1884870
IA
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IP FINANCIAL ADVISORY SERVICES LLCCRD#: 305772 450 Grant Street
Dunedin, FL 34698
Dunedin, FL 34698
INNOVATION PARTNERS LLCCRD#: 146344 Dunedin, FL
View By:
3/21/2013
Customer Dispute
Withdrawn
State Registrations
B
Florida 5/4/2022
IA
Florida 5/11/2022
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/4/2022
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Registered with this firm since 5/3/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/17/2020 - 05/05/2022 | DUNEDIN, FL | |
B | 07/17/2020 - 05/05/2022 | DUNEDIN, FL | |
IA | 07/05/2017 - 07/17/2020 | DUNEDIN, FL | |
B | 06/12/2017 - 07/17/2020 | DUNEDIN, FL | |
IA | 09/15/2016 - 06/14/2017 | DUNEDIN, FL | |
B | 09/14/2016 - 06/14/2017 | DUNEDIN, FL | |
IA | 05/27/2010 - 10/03/2016 | DUNEDIN, FL | |
B | 05/26/2010 - 10/03/2016 | DUNEDIN, FL | |
IA | 09/18/2007 - 05/27/2010 | DUNEDIN, FL | |
B | 11/09/2001 - 05/27/2010 | DUNEDIN, FL | |
B | 01/01/2001 - 11/09/2001 | MINNEAPOLIS, MN | |
B | 01/03/1997 - 01/01/2001 | MINNEAPOLIS, MN | |
B | 09/21/1989 - 01/03/1997 | ST. PAUL, MN | |
B | 04/18/1989 - 09/26/1989 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.