Julianne Smith has been Chief Compliance Officer of Secure Planning since February 2007, is not listed as a control person, but directly owns under 5% of the firm.
Secure Planning, LLC is a Portsmouth, NH firm with $187M under management, 529 clients and 3 advisers across 2 offices, as of its May 2026 filing.
Julianne Smith’s longest registration is the current one, 20 years at Secure Planning since 2006. Before joining Secure Planning in 2006, Julianne Smith was registered through American Express Financial Advisors, Inc.
- American Express Financial Advisors, Inc.– · under a yearBoca Raton, FL · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Julianne Smith is registered as an investment adviser representative in New Hampshire, since June 2006.
- New HampshireSince 14 June 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 11 November 2010 |
| Series 24 | General Securities Principal Examination | 20 February 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 May 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 May 2004 |
| Series 7 | General Securities Representative Examination | 3 May 2004 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Julianne Mary Smith
- CRD
- 4751604
- Firm
- Secure Planning · CRD 42179
- Role
- Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Julianne Smith work?
Julianne Smith has been Chief Compliance Officer of Secure Planning, LLC since February 2007.
Is Julianne Smith a financial advisor?
Yes. Julianne Smith has a current investment-adviser registration in New Hampshire, through Secure Planning since June 2006.
How many years of experience does Julianne Smith have?
Julianne Smith has 22 years in the financial industry, since September 2004, across 2 adviser firms.
What exams has Julianne Smith passed?
Julianne Smith has passed 8 licensing exams: the Series 7, Series 65, Series 63, Series 24, Series 53, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in May 2004. FINRA credited Julianne Smith with the SIE, which began in October 2018.
Where did Julianne Smith work before Secure Planning?
Before Secure Planning, Julianne Smith was registered through American Express Financial Advisors, Inc., June 2004 to August 2004.
Is Julianne Smith registered with FINRA?
Yes. Julianne Smith has a current broker registration, under CRD 4751604.
Source: FINRA BrokerCheck
How can I verify Julianne Smith’s record?
Search CRD 4751604 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Julianne Smith’s full registration record.