Eric Smith, financial advisor Boulder CO
93 score

Eric Smith

CRD Number: 5413628
Current Firm: Advice And Planning Services

Eric Smith (CRD# 5413628) is an Investment Advisor Representative working at Advice And Planning Services in Boulder, CO and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa Boulder, CO Apr 2016 - Current < 1
Tiaa-cref Individual & Institutional Services, LLC Boulder, CO Apr 2016 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Worcester, MA May 2012 - Apr 2016 3
Bank Of America, N.a. Worcester, MA May 2012 - Apr 2016 3
Investors Capital Corp Lynnfield, MA Oct 2009 - May 2012 2
Royal Alliance Inc. Wakefield, MA Aug 2007 - Oct 2009 2
Graceland University Lamoni, IA Aug 2005 - May 2009 3
Summer Vacation Concord, MA Jun 2007 - Jul 2007 < 1
Endicott College Beverley, MA Jan 2007 - May 2007 < 1
Royal Alliance Inc. Wakefield, MA Jun 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Feb 2010
Contact Info for Eric J. Smith
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • CO
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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