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Brian Christopher Smith
Brian Smith
CRD#: 7696598
IA
B
EDWARD JONESCRD#: 250 11505 PERKINS ROAD STE C
BATON ROUGE, LA 70810
BATON ROUGE, LA 70810
0
Disclosures
1
Year of Experience
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State Registrations
B
Alabama 10/6/2023
B
Maryland 9/26/2023
B
Arkansas 10/26/2023
B
Mississippi 10/24/2023
B
Colorado 10/6/2023
B
Ohio 9/27/2023
B
Florida 10/6/2023
B
South Carolina 1/19/2024
B
Kentucky 10/11/2023
B
Tennessee 10/6/2023
B
Louisiana 8/4/2023
B
Texas 10/6/2023
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Louisiana 8/4/2023
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Texas 10/17/2023
SRO Registrations
B
B
B
B
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Registered with this firm since 8/4/2023
B
Registered with this firm since 8/4/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/27/2023 - 05/15/2023 | COLUMBIA, MD |
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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.
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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.