Colin F. 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.
Colin Fitzpatrick Smith was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1986. Colin had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2014 - July 13, 2018
FINANCIAL MANAGEMENT STRATEGIES, INC.
September 3, 2013 - July 17, 2019
CETERA WEALTH SERVICES, LLC
October 19, 2001 - September 3, 2013
WALNUT STREET SECURITIES, INC.
January 11, 2001 - October 18, 2001
CAPITAL BROKERAGE CORPORATION
October 11, 1988 - December 31, 2000
WALNUT STREET SECURITIES, INC.
October 14, 1986 - October 20, 1988
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
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
FINANCIAL MANAGEMENT STRATEGIES, INC.
CRD#: 120818 / SEC#: 801-66641
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,776 |
| AUM (Assets Under Management) | $ 619,530,659 |
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.
