Hollis L. 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.
Hollis Lamar Smith JR, who also goes by Mark Smith, was a registered financial professional .
Hollis is a previously registered financial professional and started their career in finance in 1984. Hollis had worked at 3 firms and has passed the Series 63 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
July 22, 1986 - October 23, 1987
STONERIDGE SECURITIES, INC.
August 20, 1984 - October 15, 1984
NIELSON AND CLARK INC.
March 22, 1984 - August 10, 1984
WALFORD, DEMARET & CO., 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
STONERIDGE SECURITIES, INC.
CRD#: 13855 / SEC#: , 8-29929
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.
