Sterling R. Smith
Professional summary
Sterling Richard Smith is a registered financial advisor currently at STERLING SMITH CORPORATION located in Houston, Texas.
Sterling is registered as a RR (Registered Representative) and started their career in finance in 1982. Sterling has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 72, Series 52TO, SIE, Series 15, Series 5, Series 7, Series 3, Series 9, Series 14, Series 10, Series 27, Series 53, Series 28, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sterling Richard Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 1995 - Present
STERLING SMITH CORPORATION
February 28, 1995 - May 7, 2003
STERLING SMITH CORPORATION
November 17, 1988 - February 8, 1995
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - November 17, 1988
LEHMAN BROTHERS INC.
February 26, 1982 - February 15, 1988
E. F. HUTTON & COMPANY 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
(2/28/1995)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 15
Date: 5/3/1983
Foreign Currency Options ExaminationSeries 5
Date: 3/27/1982
Interest Rate Options ExaminationSeries 28
Date: 3/20/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 9/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
STERLING SMITH CORPORATION
CRD#: 38041 / SEC#: , 8-48058
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH, STERLING RICHARD | PRESIDENT/DIRECTOR/CO/IBDP/CCO/CFO/F&O PRINCIPAL/OP PROF/PFO/POO/IBP/FI | 1008425 |
Red Flags
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