Larrye A. 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.
Larrye Alfie Smith was a registered financial advisor .
Larrye is a previously registered financial advisor and started their career in finance in 1986. Larrye had worked at 10 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - October 20, 2009
QUESTAR CAPITAL CORPORATION
July 13, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
September 19, 2003 - March 16, 2004
LEGEND ADVISORY, LLC
July 11, 2003 - March 16, 2004
LEGEND EQUITIES CORPORATION
January 22, 2001 - July 7, 2003
EQUITY SERVICES, INC.
January 22, 2001 - July 7, 2003
EQUITY SERVICES, INC.
April 24, 1998 - December 31, 2000
PMG SECURITIES CORPORATION
August 2, 1996 - March 4, 1998
SUNAMERICA SECURITIES, INC.
June 10, 1993 - November 7, 1995
AMERICAN CLASSIC SECURITIES, INC.
July 15, 1991 - March 18, 1993
NORTH AMERICAN MANAGEMENT, INC.
June 17, 1986 - July 5, 1991
PFS INVESTMENTS INC.
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
