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Randall Smith

Ameriprise Financial Services, LLC

Portland, ME

South Portland, ME

South Portland, ME

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2025-09-19
  • ME RA
    APPROVED
    Since 2025-09-19

Branch Locations

Two Portland Sq Ste 700, Portland, ME 04101 • United States

South Portland, ME • United States

South Portland, ME • 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
Ameriprise Financial Services, Llc Toledo OH 09/2024 04/2025
Prudential Insurance Portland ME 05/2016 04/2024
Unemployed Portland ME 05/2024 08/2024
Ameriprise Financial Services, Llc Portland ME 06/2025 Present
Equitable Holdings Group Portland ME 04/2025 06/2025
Previous Registrations
  • 2014-01-21 → 2015-05-11
    Cetera Investment Advisers Llc
    Biddeford, ME
    Saco, ME
  • 2013-09-16 → 2014-01-21
    Cetera Investment Services Llc
    Biddeford, ME
    Saco, ME
  • 2010-03-29 → 2011-11-02
    Lpl Financial Llc
    Auburn, ME
  • 2009-11-17 → 2010-03-08
    Td Wealth Management Services Inc.
    Falmouth, ME
  • 2007-11-13 → 2009-11-17
    Cetera Investment Services Llc
    Portland, ME
    Falmouth, ME
  • 2007-05-01 → 2007-11-07
    Banc Of America Investment Services, Inc.
    Waterville, ME
    Portland, ME
  • 2006-04-10 → 2007-05-03
    Ubs Financial Services Inc.
    Portland, ME
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-12
  • S66 Uniform Combined State Law Examination
    2025-09-12
Other Names
  • Randall S Smith
  • Randall Smith
  • Randy Smith
  • Randall Stephen Smith

View on SEC IAPD

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Other Offices

PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

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