Peter S. 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.
Peter Scott Smith was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1982. Peter had worked at 5 firms and has passed the Series 63, Series 7, Series 27 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
July 15, 1992 - October 16, 1992
LAFFER, WARREN AND CO., INC.
July 1, 1987 - May 9, 1991
PALM BEACH FINANCIAL, INC.
January 29, 1987 - June 22, 1987
VANDEMAN & FULTON SECURITIES, INC.
May 21, 1985 - January 30, 1987
H.J. MEYERS & CO., INC.
February 23, 1982 - May 17, 1985
FIRST JERSEY SECURITIES, 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
Current Firm
LAFFER, WARREN AND CO., INC.
CRD#: 29843 / SEC#: , 8-44602
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
