Juliann Smith: Advanced Financial Solutions Broker Has $100K Complaint

Kansas City financial advisor Juliann Smith (CRD# 1338081) has received multiple investor complaints alleging her investment advice resulted in losses. Financial Industry Regulatory Authority records show that she is a broker with Moloney Securities, doing business as Advanced Financial Solutions.

Ms. Smith’s BrokerCheck report discloses two investor complaints. The most recent, filed in July 2022, alleges that as a Moloney Securities representative, she recommended unsuitable corporate bond investments and engaged in negligence. The pending complaint alleges damages of $28,000. In a statement on the complaint’s disclosure, Ms. Smith wrote that she “refute[s] the allegations of the claims.” 

A second investor complaint, also filed in July 2022, similarly alleges that Ms. Smith recommended unsuitable corporate bond investments and was negligent in her capacity as a representative of Moloney Securities. The pending complaint alleges damages of $100,000. A comment on the disclosure states that Ms. Smith denies the allegations.

According to the Financial Industry Regulatory Authority, Juliann Smith holds 35 years of securities industry experience. Based in Kansas City, Missouri, she has been a broker with Moloney Securities since 2003, doing business as Advanced Financial Solutions. Her past registrations include the O.N. Equity Sales Company (Cincinnati, Ohio; 2001-2003), Vestax Securities Corporation (Hudson, Ohio; 1999-2001), Walnut Street Securities (El Segundo, California; 1995-1999), Chubb Securities Corporation (Fort Wayne, Indiana; 1990-1995), New England Securities (1987-1988), and John Hancock Distributors (1985-1987). Her credentials include the passage of three securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. She is licensed in Arizona, Colorado, Florida, Illinois, Kansas, Minnesota, Missouri, Nebraska, Ohio, Pennsylvania, South Carolina, and Texas. (Information current as of August 27, 2022.)

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