Courtney D. 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.
Courtney David Smith was a registered financial advisor .
Courtney is a previously registered financial advisor and started their career in finance in 1996. Courtney had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2011 - January 28, 2015
GLOBAL ARENA INVESTMENT MANAGEMENT, LLC
March 24, 1996 - May 31, 1996
BERSEC INTERNATIONAL CORPORATION
March 12, 1996 - March 22, 1996
DAISHIN INTERNATIONAL (AMERICA), INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
GLOBAL ARENA INVESTMENT MANAGEMENT, LLC
CRD#: 135835 / SEC#: 801-70728
Contact information
Red Flags
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