Gregory E. 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.
Gregory Earl Smith, who also goes by Greg Smith, Gregory Smith, Gregory E Smith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2014 - July 7, 2025
INNOVATION PARTNERS LLC
November 5, 2013 - July 7, 2025
INNOVATION PARTNERS LLC
August 23, 2010 - December 9, 2011
INNOVATION PARTNERS LLC
June 8, 2006 - May 22, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 30, 2005 - February 21, 2006
TEACHERS PERSONAL INVESTORS SERVICES, INC.
June 30, 2005 - May 22, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 1, 1997 - May 24, 2005
SUNSET FINANCIAL SERVICES, INC.
March 10, 1995 - May 24, 2005
SUNSET FINANCIAL SERVICES, INC.
July 14, 1994 - February 13, 1995
INVESTORS ST.
March 19, 1986 - June 22, 1993
FIDELITY EQUITY SERVICES CORPORATION
May 21, 1984 - May 22, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INNOVATION PARTNERS LLC
CRD#: 146344 / SEC#: 801-78702, 8-67812
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
INNOVATION PARTNERS LLC
CRD#: 146344 / SEC#: 801-78702, 8-67812
Contact information
SEC notice filing (40 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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