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ANDREW JAMES SMITH
Andrew J Smith, Andrew James Smith, Andy J Smith
CRD#: 7283986
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 NEW MARKET, MD
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 NEW MARKET, MD
Registration History
20202021202220232024202520262 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2021 - 2021 (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2020 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 7/8/2022

B
Nebraska 7/8/2022

B
Alaska 7/8/2022

B
Nevada 7/8/2022

B
Arizona 7/8/2022

B
New Hampshire 7/8/2022

B
Arkansas 7/8/2022

B
New Jersey 7/8/2022

B
California 7/8/2022

B
New Mexico 7/8/2022

B
Colorado 7/8/2022

B
New York 7/8/2022

B
Connecticut 7/8/2022

B
North Carolina 7/8/2022

B
Delaware 7/8/2022

B
North Dakota 7/8/2022

B
District of Columbia 7/8/2022

B
Ohio 7/11/2022

B
Florida 7/8/2022

B
Oklahoma 7/8/2022

B
Georgia 7/8/2022

B
Oregon 7/8/2022

B
Hawaii 7/8/2022

B
Pennsylvania 7/8/2022

B
Idaho 7/8/2022

B
Puerto Rico 7/8/2022

B
Illinois 7/8/2022

B
Rhode Island 7/8/2022

B
Indiana 7/8/2022

B
South Carolina 7/8/2022

B
Iowa 7/8/2022

B
South Dakota 7/8/2022

B
Kansas 7/8/2022

B
Tennessee 7/8/2022

B
Kentucky 7/8/2022

B
Texas 7/8/2022

B
Louisiana 7/8/2022

IA
Texas 2/13/2023

B
Maine 7/8/2022

B
Utah 7/8/2022

B
Maryland 7/8/2022

B
Vermont 7/8/2022

IA
Maryland 8/24/2022

B
Virgin Islands 7/8/2022

B
Massachusetts 7/8/2022

B
Virginia 7/8/2022

B
Michigan 7/8/2022

B
Washington 7/8/2022

B
Minnesota 7/8/2022

B
West Virginia 7/8/2022

B
Mississippi 7/8/2022

B
Wisconsin 7/8/2022

B
Missouri 7/8/2022

B
Wyoming 7/8/2022

B
Montana 7/8/2022

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
NEW MARKET, MD
Registered with this firm since 8/24/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
NEW MARKET, MD
Registered with this firm since 7/8/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/15/2022 - 06/16/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
02/02/2022 - 06/16/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HUNT VALLEY, MD
B
04/05/2021 - 08/03/2021 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) OWINGS MILLS, MD
B
11/21/2020 - 02/11/2021 PRUCO SECURITIES, LLC. (CRD#:5685) York, PA
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B
Broker
IA
Investment Adviser
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.