JAIME SMITH

JAIME SMITH is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 1350 NASA PKWY, STE 101-A, HOUSTON, TX, 77058.

JAIME SMITH has worked at PFS INVESTMENTS INC. since April 17, 2012

Disclosure History

JAIME SMITH has 3 Disclosure Event(s).

Date: January 07, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 27, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 30, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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