Individual Firm
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.
JUSTIN MATTHEW SMITH
CRD#: 6097789
IA
B
CHICAGO CAPITAL MANAGEMENT ADVISORS, LLCCRD#: 123483 4722 MAIN STREET
LISLE, IL 60532
LISLE, IL 60532
AMERICAN TRUST INVESTMENT SERVICES, INC.CRD#: 3001 Laguna Niguel, CA
0
Disclosures
12
Years of Experience
View By:
State Registrations
IA
Arizona 6/19/2024
B
Illinois 5/13/2020
B
California 5/13/2020
B
Kentucky 5/21/2020
IA
California 10/27/2020
B
New Jersey 5/21/2020
IA
Colorado 6/13/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/27/2020
B
Registered with this firm since 5/13/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/05/2018 - 04/28/2020 | Newport Beach, CA | |
IA | 08/31/2016 - 06/29/2018 | Newport Beach, CA | |
B | 08/31/2016 - 06/29/2018 | Newport Beach, CA | |
IA | 03/17/2015 - 09/01/2016 | IRVINE, CA | |
B | 09/19/2012 - 09/01/2016 | IRVINE, CA |
IRVINE, CA
09/19/2012 - 09/01/2016
For additional information about investment advisers or broker-dealers, please visit
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.