Adam Smith, financial advisor Plymouth MI
73 score

Adam Smith

CRD Number: 5356229
Current Firm: Pnc Investments

Adam Smith (CRD# 5356229) is an Investment Advisor Representative working at Pnc Investments in Plymouth, MI and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Pnc Investments Pittsburgh, PA May 2017 - Current < 1
Fifth Third Securities West Bloomfield, MI Jan 2015 - May 2017 2
J.p. Morgan Securities LLC Northville, MI Jan 2014 - Jan 2015 1
Fifth Third Monroe, MI May 2010 - Jan 2014 3
Fifth Third Securities Monroe, MI May 2010 - Jan 2014 3
Jp Morgan Chase Wyandotte, MI Jun 2007 - May 2010 2
Chase Investment Services Corp. Wyandotte, MI Jun 2007 - May 2010 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2014
S63 Uniform Securities State Law Examination Aug 2007
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Adam P. Smith
Phone Number: 800-762-6111
Firm Website: http://www.pnc.com
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    14,009
    MILLIONS
  • Total Number of Accounts
    91,053
    ACCOUNTS
  • Average Account Value
    $153,857
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • 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, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
73

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