• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Marcy B Smith
MARCY ANN BABINGER, MARCY ANN SMITH, MARCY BABINGER SMITH, MARCY BABINGER SMITHE
CRD#: 3112261
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 905 ROOSEVELT HWY
STE 220
COLCHESTER, VT 05446
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BPEOPLE'S SECURITIES, INC. (CRD# 13704)2009 - 2022 (12 years)BCHITTENDEN SECURITIES, LLC. (CRD# 45190)2003 - 2009 (6 years)BMCDONALD INVESTMENTS INC. (CRD# 566)2002 - 2003 (<1 year)BCHITTENDEN SECURITIES, INC. (CRD# 45190)2000 - 2002 (1 year)IAPEOPLE'S UNITED ADVISORS, INC. (CRD# 292454)2020 - 2022 (1 year)IAPEOPLE'S SECURITIES, INC. (CRD# 13704)2009 - 2020 (10 years)IACHITTENDEN SECURITIES (CRD# 45190)2008 - 2009 (1 year)
License(s)

State Registrations

B
Arizona 9/21/2023

B
New York 1/31/2023

B
California 11/29/2023

B
Pennsylvania 6/13/2024

B
Colorado 9/22/2023

B
Tennessee 6/13/2024

B
Florida 3/28/2023

B
Vermont 9/27/2022

B
Kentucky 6/13/2024

IA
Vermont 9/27/2022

B
Maine 6/13/2024

B
Virginia 4/28/2023

B
Minnesota 6/25/2024

B
Washington 1/31/2023

B
New Mexico 9/13/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
905 ROOSEVELT HWY STE 220, COLCHESTER, VT 05446
Essex Junction, VT
Registered with this firm since 9/27/2022

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
905 ROOSEVELT HWY STE 220, COLCHESTER, VT 05446
Essex Junction, VT
Registered with this firm since 9/26/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/06/2020 - 04/19/2022 PEOPLE'S UNITED ADVISORS, INC. (CRD#:292454) WILLISTON, VT
B
10/27/2009 - 04/19/2022 PEOPLE'S SECURITIES, INC. (CRD#:13704) BURLINGTON, VT
IA
10/27/2009 - 03/31/2020 PEOPLE'S SECURITIES, INC. (CRD#:13704) WILLISTON, VT
IA
09/09/2008 - 11/19/2009 CHITTENDEN SECURITIES (CRD#:45190) WILLISTON, VT
B
01/08/2003 - 10/30/2009 CHITTENDEN SECURITIES, LLC. (CRD#:45190) WILLISTON, VT
B
03/12/2002 - 01/14/2003 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
12/18/2000 - 02/19/2002 CHITTENDEN SECURITIES, INC. (CRD#:45190) BURLINGTON, VT
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.