Arthur L. 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.
Arthur Lawrence Smith was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1984. Arthur had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 27 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
October 3, 2007 - December 31, 2015
TRIPLE DOUBLE ADVISORS, LLC
November 8, 2006 - September 18, 2007
JANOTX ADVISORS, INC.
July 1, 2005 - December 31, 2008
WINDLASS ENERGY VALUE MANAGEMENT, L.P.
November 2, 1988 - April 11, 1994
FIRST CAMBRIDGE SECURITIES CORPORATION
October 12, 1987 - March 4, 1988
SUMMIT CAPITAL GROUP,LTD.
April 26, 1985 - August 22, 2007
IHS HEROLD INC.
November 21, 1984 - October 18, 1985
DEUTSCHE BANK CAPITAL CORPORATION
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
TRIPLE DOUBLE ADVISORS, LLC
CRD#: 144993 / 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.
