Gregory A. 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 Allen Smith, who also goes by Gregory A Smith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1990. Gregory had worked at 5 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
July 13, 2006 - January 13, 2012
M&I FINANCIAL ADVISORS, INC
October 18, 2004 - June 23, 2006
CREDIT SUISSE SECURITIES (USA) LLC
April 12, 2000 - October 20, 2004
UBS SECURITIES LLC
June 15, 1999 - April 13, 2000
LEHMAN BROTHERS INC.
February 7, 1996 - June 10, 1999
PERSHING LLC
November 29, 1990 - March 1, 1996
LEHMAN BROTHERS 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
M&I FINANCIAL ADVISORS, INC
CRD#: 16517 / SEC#: 801-74429, 8-34084
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP | PARENT COMPANY | |
| CRAIN, WILLIAM JOSEPH JR | SVP, CHIEF FINANCIAL OFFICER, TREASURER, CHIEF OPERATING OFFICER | 1442590 |
| FENTZLAFF, RANDALL THOMAS | SVP, INVESTMENT BANKING | 1736887 |
| HARLESS, ROBERT WYNN | SVP, INVESTMENT BANKING, DIRECTOR | 1561671 |
| JOHNSON, CHERYL CLARK | ROSFP, VICE PRESIDENT | 1514048 |
| MIROBALLI, MICHAEL | PRESIDENT, CEO, DIRECTOR, CHAIRMAN | 1545242 |
| ROBERTS, ALBERTA STEPHENS | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 2681068 |
| URBANSKI, DEAN EDWARD | SVP, NATIONAL SALES MANAGER | 1565963 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
