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ULYSSES DONALD SMITH JR
Ulysses Donald Smith Jr, Ulysses Donald Smith
CRD#: 6319446
IA
B
PRIMERICA ADVISORSCRD#: 10111 1100 SHERIDAN RD.
WINTHROP HARBOR, IL 60096
WINTHROP HARBOR, IL 60096
0
Disclosures
8
Years of Experience
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State Registrations
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Illinois 4/23/2019
B
Missouri 1/2/2020
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Illinois 5/21/2019
B
Texas 3/4/2021
B
Louisiana 1/2/2020
B
Wisconsin 1/2/2020
SRO Registrations
B
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Registered with this firm since 5/21/2019
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Registered with this firm since 4/23/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/30/2019 - 04/04/2019 | DOWNERS GROVE, IL | |
IA | 05/05/2016 - 08/31/2017 | WAUKEGAN, IL | |
B | 08/25/2015 - 08/31/2017 | WAUKEGAN, IL |
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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.
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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.