Roy 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.
Roy Smith was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1984. Roy had worked at 9 firms and has passed the Series 63, Series 7 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
May 10, 1991 - November 18, 1991
FLEMMING, ANDERSON, COHEN & LEE, INC.
April 11, 1990 - October 17, 1990
HASAN GROWNEY CO. INC.
March 6, 1990 - April 16, 1990
PACIFIC SOUTHERN SECURITIES, INC.
February 20, 1990 - March 6, 1990
JOSEPHTHAL & CO., INC.
June 13, 1989 - January 17, 1990
J F LOWE & COMPANY INCORPORATED
May 12, 1989 - July 5, 1989
YAEGER SECURITIES, INC.
November 23, 1988 - May 17, 1989
BAGLEY SECURITIES, INC.
November 9, 1987 - November 28, 1988
HAMPTON SECURITIES, INC.
March 25, 1985 - November 13, 1987
BLINDER, ROBINSON & CO., INC.
September 24, 1984 - December 20, 1984
BLINDER, ROBINSON & 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
FLEMMING, ANDERSON, COHEN & LEE, INC.
CRD#: 23121 / SEC#: , 8-40210
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.
