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Charles C. Smith

J.P. Morgan Securities LLC

Aspen, CO

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2021-05-25
NC RA APPROVED 2021-05-25
  • CO RA
    APPROVED
    Since 2021-05-25
  • NC RA
    APPROVED
    Since 2021-05-25

Branch Locations

232 E Main St, Unit 101, Aspen, CO 81611 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Charlotte NC 01/2019 03/2019
Publix Super Markets Tuscaloosa AL 11/2016 07/2018
University Of Alabama Tuscaloosa AL 08/2014 05/2018
Blue Line Rentals Auburn AL 05/2018 01/2019
Shipt Shopper Charlotte NC 04/2019 06/2019
Cetera Investment Services Llc Charlotte NC 08/2019 05/2020
Cetera Investment Advisers Llc Charlotte NC 12/2019 05/2020
Jpmorgan Chase Bank, N.A. Aspen CO 04/2021 Present
J.P. Morgan Securities Llc Aspen CO 04/2021 Present
Ally Financial Charlotte NC 02/2021 03/2021
Publix Tuscaloosa AL 09/2020 01/2021
Cetera Investors Charlotte NC 06/2019 12/2019
Express Employment Professionals Auburn AL 08/2018 12/2018
Lowe's Charlotte NC 03/2020 05/2020
Unemployed Auburn AL 06/2020 08/2020
Wells Fargo Charlotte NC 01/2019 05/2019
  • 01/2019 → 03/2019
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 11/2016 → 07/2018
    Publix Super Markets
    Tuscaloosa, AL
  • 08/2014 → 05/2018
    University Of Alabama
    Tuscaloosa, AL
  • 05/2018 → 01/2019
    Blue Line Rentals
    Auburn, AL
  • 04/2019 → 06/2019
    Shipt Shopper
    Charlotte, NC
  • 08/2019 → 05/2020
    Cetera Investment Services Llc
    Charlotte, NC
  • 12/2019 → 05/2020
    Cetera Investment Advisers Llc
    Charlotte, NC
  • 04/2021 → Present
    Jpmorgan Chase Bank, N.A.
    Aspen, CO
  • 04/2021 → Present
    J.P. Morgan Securities Llc
    Aspen, CO
  • 02/2021 → 03/2021
    Ally Financial
    Charlotte, NC
  • 09/2020 → 01/2021
    Publix
    Tuscaloosa, AL
  • 06/2019 → 12/2019
    Cetera Investors
    Charlotte, NC
  • 08/2018 → 12/2018
    Express Employment Professionals
    Auburn, AL
  • 03/2020 → 05/2020
    Lowe's
    Charlotte, NC
  • 06/2020 → 08/2020
    Unemployed
    Auburn, AL
  • 01/2019 → 05/2019
    Wells Fargo
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-06
S63 Uniform Securities Agent State Law Examination 2019-09-27
  • S66 Uniform Combined State Law Examination
    2019-12-06
  • S63 Uniform Securities Agent State Law Examination
    2019-09-27
Other Names
  • Charles Smith
  • Charles Chadwell Smith

View on SEC IAPD

Other Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
STEVENSON ADVISORS, LLC
INTEGRATED BENEFITS, INCORPORATED
ASHTON THOMAS SECURITIES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
FOUNDATIONS INVESTMENT ADVISORS LLC
PCM ENCORE, LLC

Other Investors

Jeffrey Allan Sgroi
ADAM STEVENSON
SARAH KATHERINE STACHNIK
JODY ANN SWAPP
CHRISTOPHER RICHARDS SABELLA
Scott ROGER Mercier
BRIAN E OVERBO
MAXWELL A RISPOLI

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ASPEN, CO
STEVENSON ADVISORS, LLC · ASPEN, CO
INTEGRATED BENEFITS, INCORPORATED · Aspen, CO
ASHTON THOMAS SECURITIES, LLC · Aspen, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASPEN, CO
WELLS FARGO CLEARING SERVICES, LLC · ASPEN, CO
FOUNDATIONS INVESTMENT ADVISORS LLC · ASPEN, CO
PCM ENCORE, LLC · ASPEN, CO

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