Unclaimed Profile

Linda W Sullivan

SMITH MOORE & CO.·CLAYTON, Missouri

SIE, Series 3, Series 7, Series 9, Series 10, Series 14, Series 24, Series 63, Series 66, Series 99TOClean record18 years registeredSMITH MOORE & CO.

7777 BONHOMME AVENUE, CLAYTON, MO 63105CRD# 4008534Firm CRD# 3441

Profile Verification

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

Identity

Linda W Sullivan · CLAYTON, MO

Registration

CRD #4008534 · SMITH MOORE & CO. · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SMITH MOORE & CO.

SMITH MOORE & CO.

Mar 2011 – Dec 2023

CLAYTON, MO

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Mar 2011

ST. LOUIS, MO

CITIGROUP GLOBAL MARKETS INC.

Aug 2007 – Jun 2009

ST. LOUIS, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 9

Series 10

Series 14

Series 24

Series 63

Series 66

Series 99TO

Registration record

First registered · August 21, 2007

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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 Linda W Sullivan offer?

Linda W Sullivan specializes in Financial Planning, Investment Management.

What are Linda W Sullivan's credentials?

Linda W Sullivan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Linda W Sullivan located?

Linda W Sullivan is based in CLAYTON, Missouri, last registered with SMITH MOORE & CO..

How does Linda W Sullivan charge for services?

Linda W Sullivan'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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