Douglas C. 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 Clark 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 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, 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
November 25, 2015 - December 31, 2019
OMNI FINANCIAL SECURITIES, INC.
November 24, 2015 - December 31, 2019
SWS ADVISORS, INC.
January 5, 2011 - November 12, 2015
PRIMESOLUTIONS SECURITIES, INC.
January 4, 2011 - November 12, 2015
PRIMESOLUTIONS SECURITIES, INC.
August 25, 2003 - December 31, 2010
AMVEST SECURITIES, INCORPORATED
January 16, 2002 - December 31, 2010
AMVEST SECURITIES, INCORPORATED
January 25, 1995 - January 22, 2002
WESTMINSTER FINANCIAL SECURITIES, INC.
September 24, 1984 - October 21, 1989
WRP INVESTMENTS, 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
OMNI FINANCIAL SECURITIES, INC.
CRD#: 29320 / SEC#: , 8-44034
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
