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RYAN JAMES SMITH
CRD#: 6169195
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 90 WOODBRIDGE CENTER DRIVE
7TH FLOOR
WOODBRIDGE, NJ 07095
7TH FLOOR
WOODBRIDGE, NJ 07095
0
Disclosures
9
Years of Experience
View By:
State Registrations
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New Jersey 4/10/2024
IA
New York 7/23/2024
IA
New Jersey 4/11/2024
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Texas 7/23/2024
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New York 7/23/2024
IA
Texas 7/23/2024
SRO Registrations
B
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IA
Registered with this firm since 4/11/2024
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Registered with this firm since 4/10/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/03/2021 - 02/09/2024 | Stamford, CT | |
B | 06/02/2021 - 02/09/2024 | Stamford, CT | |
IA | 04/12/2021 - 05/20/2021 | UPPER MONTCLAIR, NJ | |
B | 04/07/2021 - 05/20/2021 | UPPER MONTCLAIR, NJ | |
IA | 09/09/2019 - 02/11/2021 | Suffern, NY | |
B | 08/27/2019 - 02/11/2021 | Suffern, NY | |
IA | 02/22/2017 - 09/10/2019 | NUTLEY, NJ | |
B | 08/12/2015 - 09/10/2019 | NUTLEY, NJ |
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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.