Barry G. 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.
Barry Gay Smith, who also goes by Barry G Smith, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1991. Barry had worked at 4 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
December 11, 2006 - January 2, 2014
FIRST SOUTHWEST COMPANY, LLC
March 26, 2003 - December 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 2003 - December 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 30, 1994 - January 22, 2003
HOWARD WEIL INCORPORATED
September 29, 1994 - January 22, 2003
HOWARD WEIL INCORPORATED
November 20, 1991 - December 18, 1992
THE TRADING DESK, 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
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
