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CHRISTOPHER THOMAS SMITH
CHRIS SMITH
CRD#: 2769461
IA
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JANNEY MONTGOMERY SCOTT LLCCRD#: 463 1441 MAIN STREET
SUITE 700
COLUMBIA, SC 29201
SUITE 700
COLUMBIA, SC 29201
0
Disclosures
28
Years of Experience
View By:
State Registrations
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Alabama 6/7/2013
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North Carolina 6/7/2013
B
Alaska 1/20/2017
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North Carolina 7/19/2013
B
California 6/1/2017
B
North Dakota 9/26/2023
B
Colorado 6/7/2013
B
Ohio 6/7/2013
B
Florida 6/7/2013
B
Oklahoma 6/1/2017
B
Georgia 6/7/2013
B
Pennsylvania 6/7/2013
B
Hawaii 3/11/2021
B
South Carolina 6/7/2013
B
Illinois 12/13/2017
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South Carolina 6/10/2013
B
Iowa 12/3/2020
B
Tennessee 6/7/2013
B
Louisiana 6/1/2017
B
Texas 6/7/2013
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Maryland 6/7/2013
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Texas 11/13/2017
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Massachusetts 6/7/2013
B
Utah 7/25/2019
B
Minnesota 9/25/2017
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Virginia 6/7/2013
B
New Hampshire 9/12/2024
B
Washington 6/7/2013
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New York 6/7/2013
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West Virginia 6/10/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/10/2013
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Registered with this firm since 6/7/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/13/2006 - 06/11/2013 | COLUMBIA, SC | |
B | 07/13/2006 - 06/11/2013 | COLUMBIA, SC | |
IA | 02/21/2006 - 07/18/2006 | COLUMBIA, SC | |
B | 02/21/2006 - 07/18/2006 | COLUMBIA, SC | |
IA | 10/23/2003 - 02/21/2006 | COLUMBIA, SC | |
B | 09/12/2003 - 02/21/2006 | BALTIMORE, MD | |
IA | 01/09/2001 - 09/16/2003 | SPARTANBURG, SC | |
B | 06/29/1999 - 09/16/2003 | NEW YORK, NY | |
B | 05/08/1997 - 07/02/1999 | CHARLOTTE, NC | |
B | 03/05/1997 - 05/13/1997 | ST. LOUIS, MO | |
B | 07/26/1996 - 03/05/1997 | ATLANTA, GA |
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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.
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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.