Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • 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.
< Back to Results
Detailed Report
ANDREW WHITACRE SMITH
ANDREW W SMITH, Andrew Smith
CRD#: 6101995
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 100 N Tampa St
Floor 33
Tampa, FL 33602
Registration History
201220142016201820202022202420262 FIRMS2012 - 2015 (2 years)2 FIRMS2023 - Present (1 year)BGOLDMAN SACHS & CO. LLC (CRD# 361)2019 - 2023 (4 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2019 (4 years)
License(s)

State Registrations

B
Alabama 8/21/2023
B
Nebraska 8/21/2023
B
Alaska 8/21/2023
B
Nevada 8/21/2023
B
Arizona 8/21/2023
B
New Hampshire 8/21/2023
B
Arkansas 8/21/2023
B
New Jersey 8/21/2023
B
California 8/21/2023
B
New Mexico 8/21/2023
B
Colorado 8/21/2023
B
New York 8/21/2023
B
Connecticut 8/21/2023
B
North Carolina 8/21/2023
B
Delaware 8/21/2023
B
North Dakota 8/21/2023
B
District of Columbia 8/21/2023
B
Ohio 8/21/2023
B
Florida 8/21/2023
B
Oklahoma 8/21/2023
IA
Florida 9/22/2023
B
Oregon 8/21/2023
B
Georgia 8/21/2023
B
Pennsylvania 8/21/2023
B
Hawaii 8/21/2023
B
Puerto Rico 8/21/2023
B
Idaho 8/21/2023
B
Rhode Island 8/21/2023
B
Illinois 8/21/2023
B
South Carolina 8/21/2023
B
Indiana 8/21/2023
B
South Dakota 8/21/2023
B
Iowa 8/21/2023
B
Tennessee 8/21/2023
B
Kansas 8/21/2023
B
Texas 8/21/2023
B
Kentucky 8/21/2023
IA
Texas 8/21/2023
B
Louisiana 8/21/2023
B
Utah 8/21/2023
B
Maine 8/21/2023
B
Vermont 8/21/2023
B
Maryland 8/21/2023
B
Virgin Islands 8/21/2023
B
Massachusetts 8/21/2023
B
Virginia 8/21/2023
B
Michigan 8/21/2023
B
Washington 8/21/2023
B
Minnesota 8/21/2023
B
West Virginia 8/21/2023
B
Mississippi 8/21/2023
B
Wisconsin 8/21/2023
B
Missouri 8/21/2023
B
Wyoming 8/21/2023
B
Montana 8/21/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 N Tampa St Floor 33, Tampa, FL 33602
Tampa, FL
Registered with this firm since 8/21/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
100 N Tampa St Floor 33, Tampa, FL 33602
Tampa, FL
Registered with this firm since 8/21/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/05/2019 - 09/06/2023 GOLDMAN SACHS & CO. LLC (CRD#:361) MIAMI, FL
B
 01/21/2015 - 03/01/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) TAMPA, FL
IA
 10/23/2012 - 01/02/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TAMPA, FL
B
 09/24/2012 - 01/02/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) TAMPA, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.