Hope SmithCRD Number: 6112482
Current Firm: J.p. Morgan Securities LLC
Hope Smith (CRD# 6112482) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Sedona, AZ and has over 5 years of experience in the finance industry.
Creative Financial Concepts,llc
Creative Financial Concepts,llc
|J.p. Morgan Securities LLC||Cottonwood, AZ||Oct 2012 - Current||5|
|Jpmorgan Chase Bank||Cottonwood, AZ||Aug 2011 - Current||6|
|Chase Investment Services Corp||Cottonwood, AZ||Aug 2012 - Oct 2012||< 1|
|Hope Harper Smith Interiors||Cottonwood, AZ||Jun 2010 - Feb 2012||1|
|Unemployed||Cottonwood, AZ||May 2009 - Jun 2010||1|
|Zurich North America||Atlanta, GA||Mar 2005 - May 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2012|
|S66||NASAA Uniform Combined State Law Examination||May 2014|
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:
- Financial Issue
Total Assets Under Management81,562MILLIONS
Total Number of Accounts376,424ACCOUNTS
Average Account Value$216,675
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- 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)
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, WY
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