Barry M. 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.
Barry Merton Smith, AIF®, CFP® was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1983. Barry had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 14, Series 51 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
Start date: 1993
Experience
March 29, 2021 - November 3, 2023
FORTUNE FINANCIAL SERVICES, INC.
October 28, 2004 - September 30, 2019
DELTA SECURITIES COMPANY, LLC
October 2, 1998 - September 28, 2022
SIGNATURE ESTATE SECURITIES, LLC
October 22, 1991 - December 31, 2023
CERTIFIED ADVISORY CORP
April 29, 1985 - January 13, 1999
CFG SECURITIES CORP.
May 5, 1983 - June 17, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 5, 1983 - June 17, 1985
EQUITABLE ADVISORS, 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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
