Christie Smith, financial advisor York PA
76 score

Christie Smith

CRD Number: 1042279
Current Firm: Stifel, Nicolaus & Company, Incorporated

Christie Smith (CRD# 1042279) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in York, PA and has over 34 years of experience in the finance industry. Christie Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Stifel, Nicolaus & Company, Incorporated York, PA Jul 2007 - Current 9
Ryan Beck & Company York, PA Sep 2006 - Jul 2007 < 1
Ryan Beck & Company Camp Hill, PA Aug 2006 - Sep 2006 < 1
Citigroup Global Markets Inc. New York, NY Feb 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1982
S65 NASAA Investment Advisors Law Examination Feb 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Christie L. Smith
Phone Number: 314-342-2000
Firm Website: http://www.stifel.com
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    38,401
    MILLIONS
  • Total Number of Accounts
    115,441
    ACCOUNTS
  • Average Account Value
    $332,650
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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
76

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