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Rufus H. Smith
RUDY SMITH, RUFUS HERMAN SMITH JR, RUFUS HERMAN SMITH JR., RUFUS HERMAN SMITH
CRD#: 5228054
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 3424 Peachtree Rd NE
Floor 24
Atlanta, GA 30326
Floor 24
Atlanta, GA 30326
0
Disclosures
17
Years of Experience
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State Registrations
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Alabama 3/23/2017
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Nebraska 3/23/2017
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Alaska 3/23/2017
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Nevada 3/23/2017
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Arizona 3/23/2017
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New Hampshire 3/23/2017
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Arkansas 3/23/2017
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New Jersey 3/23/2017
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California 3/23/2017
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New Mexico 3/23/2017
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Colorado 3/23/2017
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New York 3/23/2017
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Connecticut 3/23/2017
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North Carolina 3/23/2017
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Delaware 3/23/2017
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North Dakota 3/23/2017
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District of Columbia 3/23/2017
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Ohio 3/23/2017
B
Florida 3/23/2017
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Oklahoma 3/23/2017
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Georgia 3/23/2017
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Oregon 3/23/2017
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Georgia 10/3/2022
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Pennsylvania 3/23/2017
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Hawaii 3/23/2017
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Puerto Rico 3/23/2017
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Idaho 3/23/2017
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Rhode Island 3/23/2017
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Illinois 3/23/2017
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South Carolina 3/23/2017
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Illinois 3/23/2017
B
South Dakota 3/23/2017
B
Indiana 3/23/2017
B
Tennessee 3/23/2017
B
Iowa 3/23/2017
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Tennessee 10/21/2022
B
Kansas 3/23/2017
B
Texas 3/23/2017
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Kentucky 3/23/2017
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Texas 10/3/2022
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Louisiana 3/23/2017
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Utah 3/23/2017
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Maine 3/23/2017
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Vermont 3/23/2017
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Maryland 3/23/2017
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Virgin Islands 3/23/2017
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Massachusetts 3/23/2017
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Virginia 3/23/2017
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Michigan 3/23/2017
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Washington 3/23/2017
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Minnesota 3/23/2017
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West Virginia 3/23/2017
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Mississippi 3/23/2017
B
Wisconsin 3/23/2017
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Missouri 3/23/2017
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Wyoming 3/23/2017
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Montana 3/23/2017
SRO Registrations
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IA
Registered with this firm since 3/23/2017
B
Registered with this firm since 3/23/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/04/2016 - 02/23/2017 | ORLAND PARK, IL | |
B | 02/04/2016 - 02/23/2017 | ORLAND PARK, IL | |
IA | 03/26/2013 - 03/02/2016 | CHICAGO, IL | |
B | 03/26/2013 - 03/02/2016 | CHICAGO, IL | |
IA | 06/12/2012 - 02/27/2013 | CHICAGO, IL | |
B | 03/14/2012 - 02/27/2013 | CHICAGO, IL | |
B | 01/17/2007 - 09/08/2011 | CHICAGO, IL |
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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.