Unclaimed Profile

Julianne Catherine Iwersen-Niemann

SMITH MOORE & CO.·CLAYTON, Missouri

SIE, Series 7, Series 16, Series 6325 years registeredSMITH MOORE & CO.

7777 BONHOMME AVENUE, CLAYTON, MO 63105CRD# 861067Firm CRD# 3441

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Julianne Catherine Iwersen-Niemann · CLAYTON, MO

Registration

CRD #861067 · SMITH MOORE & CO. · 25 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SMITH MOORE & CO.

SMITH MOORE & CO.

Feb 2006 – Dec 2024

CLAYTON, MO

RT JONES CAPITAL EQUITIES INC

Feb 2001 – Feb 2006

ST. LOUIS, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 16

Series 63

Registration record

First registered · February 1, 2001

Years registered · 25

Disclosure History

2006Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

SMITH MOORE & CO.

CRD 3441 · SEC 801-68175

AUM

$1.7B

Regulatory assets under management

Employees

4,988 client accounts

Services offered by SMITH MOORE & CO.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SMITH MOORE & CO. →

Introduction

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Frequently Asked Questions

What services does Julianne Catherine Iwersen-Niemann offer?

Julianne Catherine Iwersen-Niemann specializes in Financial Planning, Investment Management.

What are Julianne Catherine Iwersen-Niemann's credentials?

Julianne Catherine Iwersen-Niemann is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Julianne Catherine Iwersen-Niemann located?

Julianne Catherine Iwersen-Niemann is based in CLAYTON, Missouri, last registered with SMITH MOORE & CO..

How does Julianne Catherine Iwersen-Niemann charge for services?

Julianne Catherine Iwersen-Niemann's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SMITH MOORE & CO.?

SMITH MOORE & CO. has approximately 65 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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