Rickey 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.
Rickey Alan Smith, who also goes by Rick A. Smith, Rick Smith, was a registered financial professional .
Rickey is a previously registered financial professional and started their career in finance in 1984. Rickey had worked at 3 firms and has passed the Series 63, Series 50 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 23, 1990 - December 11, 2021
MUNICIPAL FINANCE SERVICES, INC.
April 9, 1990 - April 24, 1990
LEO OPPENHEIM & CO., INC.
September 20, 1984 - April 9, 1990
LEO OPPENHEIM & 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
MUNICIPAL FINANCE SERVICES, INC.
CRD#: 118481 / SEC#:
Contact information
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.
