Gregory Allen Smith
Professional Summary
Gregory Allen Smith, who also goes by Gregory A Smith, was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1990 - 2012. Gregory had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gregory A Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
AUTOMATED BROKERAGE SERVICES | M&I FINANCIAL ADVISORS, INC. | M&I FINANCIAL ADVISORS, INC | M&I BROKERAGE SERVICES, INC. | M & I CAPITAL CORPORATION
Contact Information
Established
Wisconsin since 04/09/1985Firm Type
CorporationFiscal Year End
DecemberDirect 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
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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