Clarence E. 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.
Clarence Edwin Smith III, who also goes by Bud Smith III, Bud Smith, Clarence Edwin III Smith, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1983. Clarence had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2020 - October 25, 2023
LION STREET ADVISORS, LLC
July 7, 2014 - October 25, 2023
LION STREET FINANCIAL, LLC
July 13, 2011 - July 30, 2013
KESTRA INVESTMENT SERVICES, LLC
April 13, 2010 - January 3, 2011
NYLIFE SECURITIES LLC
January 3, 2007 - December 31, 2009
INVESTORS CAPITAL CORP.
October 12, 2004 - August 16, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 21, 1993 - January 11, 1994
GUARDIAN INVESTOR SERVICES LLC
October 30, 1986 - December 1, 2003
MML INVESTORS SERVICES, LLC
May 17, 1983 - July 28, 1986
RDSC, LLC
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
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
Red Flags
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