Donald 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.
Donald Smith was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1984. Donald had worked at 9 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
August 5, 2005 - December 31, 2012
INVESTORS CAPITAL CORP.
June 25, 2004 - August 8, 2005
OSAIC WEALTH, INC.
April 29, 2002 - June 29, 2004
RYAN BECK & CO.
March 26, 1997 - May 20, 2002
GRUNTAL & CO., L.L.C.
March 1, 1995 - April 1, 1997
D. H. BLAIR & CO., INC.
March 27, 1992 - April 10, 1995
MONY SECURITIES CORPORATION
January 26, 1989 - June 13, 1990
ROBERT TODD FINANCIAL CORP.
April 28, 1987 - November 25, 1987
OXFORD EQUITIES GROUP, INC.
April 18, 1984 - October 23, 1985
PARLIAMENT SECURITIES CORP.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
