Duncan K. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Duncan Kimber Smith was a registered financial professional .
Duncan is a previously registered financial professional and started their career in finance in 1981. Duncan had worked at 8 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - March 28, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
April 13, 2016 - October 26, 2018
CABRERA CAPITAL MARKETS, LLC
August 7, 2014 - December 1, 2014
MUNIAXIS LEBENTHAL LLC
February 5, 2008 - April 11, 2016
LEBENTHAL & CO., LLC
March 16, 2007 - March 4, 2008
IDB CAPITAL CORP.
February 1, 2006 - March 13, 2007
STONE & YOUNGBERG LLC
June 7, 2002 - February 1, 2006
ADVEST, INC.
October 1, 1981 - June 7, 2002
LEBENTHAL & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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