Daniel T. Smythe
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.
Daniel Thompson Smythe was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 15, Series 3, Series 8 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
July 25, 2014 - September 20, 2017
TRUIST SECURITIES, INC.
April 4, 2002 - November 3, 2005
SEAPORT GLOBAL SECURITIES LLC
February 12, 2002 - April 4, 2002
IPO.COM SECURITIES, INC.
September 5, 2000 - October 12, 2000
APEX CLEARING CORPORATION
February 28, 1997 - September 5, 2000
ROBERTSON STEPHENS, INC.
January 1, 1995 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
December 23, 1994 - February 18, 1997
LEHMAN BROTHERS INC.
August 30, 1990 - January 18, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 24, 1984 - June 20, 1990
SALOMON BROTHERS 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
Series 15
Date: 12/18/1984
Foreign Currency Options ExaminationSeries 8
Date: 7/8/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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