Gary 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.
Gary Martin Smith was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1983. Gary had worked at 3 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2004 - May 20, 2011
ENERGY HUNTER SECURITIES, INC.
September 13, 1984 - June 18, 1990
CONCEPT INVESTMENT PLANNING & SECURITIES, INC.
May 27, 1983 - February 20, 1985
BROOKSTONE SECURITIES, 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
ENERGY HUNTER SECURITIES, INC.
CRD#: 131510 / SEC#: , 8-66476
Contact information
Documents
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.
