Martin P. 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.
Martin P Smith, who also goes by Martin Patrick Smith, Marty Smith, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1983. Martin had worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 55 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
May 4, 2015 - May 6, 2015
VOYA FINANCIAL ADVISORS, INC.
February 25, 2011 - September 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2011 - September 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 8, 2007 - August 7, 2009
MSI FINANCIAL SERVICES, INC.
June 15, 2007 - August 7, 2009
MSI FINANCIAL SERVICES, INC.
January 28, 2004 - April 20, 2007
A. G. EDWARDS & SONS, INC.
January 28, 2004 - April 20, 2007
A. G. EDWARDS & SONS, INC.
May 14, 2002 - January 13, 2004
MORGAN STANLEY DW INC.
April 11, 2002 - January 13, 2004
MORGAN STANLEY DW INC.
April 16, 2001 - October 16, 2001
CREDIT SUISSE SECURITIES (USA) LLC
October 10, 2000 - March 6, 2001
CREDIT SUISSE SECURITIES (USA) LLC
April 19, 1983 - October 10, 2000
PERSHING LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 55
Date: 10/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
