Donald L. Smith
Professional summary
Donald Lee Smith is a registered financial advisor currently at PROVIDENT WEALTH MANAGEMENT INC located in Erie, Pennsylvania.
Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Donald has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 24, Series 28, Series 51 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Donald Lee Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 1992 - Present
PROVIDENT WEALTH MANAGEMENT INC
Office #1: 3527 West 26th Street, Erie, PA 16506January 14, 1999 - March 31, 2020
PROVIDENT PRIVATE CAPITAL PARTNERS, INC.
October 20, 1992 - August 1, 1997
VESTAX SECURITIES CORPORATION
August 14, 1987 - September 9, 1992
LPL FINANCIAL LLC
June 15, 1983 - August 29, 1987
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/7/1992)
Exams
Series 7TO
Date: 10/5/2022
General Securities Representative ExaminationSeries 99TO
Date: 10/5/2022
Operations Professional ExaminationSeries 28
Date: 10/5/2022
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PROVIDENT WEALTH MANAGEMENT INC
CRD#: 107021 / SEC#: 801-30754
Contact information
Regulatory assets under management
| Total Number of Accounts | 118 |
| AUM (Assets Under Management) | $ 25,744,055 |
Red Flags
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