Gregory B. 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.
Gregory Buford Smith, who also goes by Gregory B Smith, Gregory Buford Smith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 8 firms and has passed the Series 63, Series 7, Series 5, Series 3, Series 15 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2011 - August 6, 2012
STORMHARBOUR SECURITIES LP
July 3, 2008 - January 27, 2009
COHEN & COMPANY SECURITIES, LLC
October 9, 2007 - May 6, 2008
JEFFERIES LLC
August 17, 2006 - August 8, 2007
TERWIN CAPITAL, LLC
March 21, 2005 - August 15, 2006
CANTOR FITZGERALD & CO.
August 12, 2004 - November 10, 2004
BLAYLOCK & COMPANY, INC.
March 3, 1998 - May 12, 1999
STORMHARBOUR SECURITIES LP
May 5, 1989 - December 24, 1996
J.P. MORGAN SECURITIES LLC
August 24, 1982 - April 17, 1989
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/30/1982
Interest Rate Options ExaminationSeries 15
Date: 12/23/1982
Foreign Currency Options ExaminationSeries 8
Date: 3/23/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STORMHARBOUR SECURITIES LP
CRD#: 35997 / SEC#: , 8-46999
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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