John F. Smart
Professional summary
John Francis Smart JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, John had worked at 5 firms, which includes CAPITAL STRATEGIES LIMITED, BMA FINANCIAL SERVICES INC., OSAIC FS INC., THE CONCORD EQUITY GROUP LLC, PILGRIM PLANNING ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2001 - August 2, 2002
CAPITAL STRATEGIES LIMITED
November 21, 1995 - December 6, 1995
BMA FINANCIAL SERVICES, INC.
June 4, 1990 - October 19, 2000
OSAIC FS, INC.
December 11, 1989 - June 8, 1990
THE CONCORD EQUITY GROUP, LLC
October 5, 1984 - December 8, 1989
PILGRIM PLANNING ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL STRATEGIES LIMITED
CRD#: 10253 / SEC#: , 8-27038
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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