Individual Firm
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RENEE MARGARET SMITH
CRD#: 3074661
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 Aurora, CO
View By:
2/10/2025
Financial
Final
State Registrations
B
Alabama 3/24/2008
B
Missouri 3/25/2008
B
Alaska 4/1/2008
B
Montana 3/24/2008
B
Arizona 4/1/2008
B
Nebraska 3/25/2008
B
Arkansas 4/1/2008
B
Nevada 4/15/2008
B
California 3/24/2008
B
New Hampshire 3/20/2008
B
Colorado 3/20/2008
B
New Jersey 3/24/2008
IA
Colorado 10/16/2012
B
New Mexico 3/20/2008
B
Connecticut 3/24/2008
B
New York 4/1/2008
B
Delaware 3/28/2008
B
North Carolina 3/20/2008
B
District of Columbia 3/20/2008
B
North Dakota 3/24/2008
B
Florida 3/24/2008
B
Ohio 3/24/2008
B
Georgia 3/20/2008
B
Oklahoma 3/24/2008
B
Hawaii 4/1/2008
B
Oregon 3/20/2008
B
Idaho 3/27/2008
B
Pennsylvania 3/24/2008
B
Illinois 3/20/2008
B
Rhode Island 3/25/2008
B
Indiana 3/24/2008
B
South Carolina 3/26/2008
B
Iowa 3/20/2008
B
South Dakota 4/1/2008
B
Kansas 3/24/2008
B
Tennessee 3/25/2008
B
Kentucky 3/20/2008
B
Texas 3/20/2008
B
Louisiana 4/2/2008
B
Utah 3/24/2008
B
Maine 3/24/2008
B
Vermont 3/26/2008
B
Maryland 3/25/2008
B
Virginia 3/20/2008
B
Massachusetts 3/24/2008
B
Washington 3/20/2008
B
Michigan 3/24/2008
B
West Virginia 4/1/2008
B
Minnesota 4/3/2008
B
Wisconsin 3/24/2008
B
Mississippi 3/24/2008
B
Wyoming 3/24/2008
SRO Registrations
B
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IA
B
Registered with this firm since 3/20/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/2006 - 02/29/2008 | GREENWOOD VILLAGE, CO | |
B | 06/26/2006 - 02/29/2008 | GREENWOOD VILLAGE, CO | |
B | 06/26/2006 - 07/09/2007 | GREENWOOD VILLAGE, CO | |
IA | 03/16/2005 - 06/12/2006 | DENVER, CO | |
B | 11/18/2004 - 06/12/2006 | DENVER, CO | |
B | 07/02/1998 - 03/18/2004 | NEW YORK, NY |
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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.
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