Douglas B. 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.
Douglas Boyd Smith, who also goes by Doug Smith, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 7 firms and has passed the Series 63, SIE, Series 52 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
October 11, 2013 - November 6, 2023
PORTSMOUTH FINANCIAL SERVICES
January 2, 2003 - October 14, 2013
1ST DISCOUNT BROKERAGE, INC.
January 28, 1997 - December 18, 2002
MORGAN KEEGAN & COMPANY, LLC
November 21, 1990 - May 16, 1994
EQUITY SERVICES, INC.
September 6, 1988 - September 11, 1990
STERNE, AGEE & LEACH, INC.
February 27, 1985 - August 23, 1988
FIRST BIRMINGHAM SECURITIES CORPORATION
June 21, 1984 - February 5, 1985
BERNEY PERRY & COMPANY, 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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
