Gary 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.
Gary Lloyd Smith was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1985. Gary had worked at 6 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2000 - September 30, 2002
MCCLURG CAPITAL CORPORATION
March 15, 1995 - December 31, 1997
FIRST ASSOCIATED SECURITIES GROUP, INC.
July 22, 1994 - February 11, 1995
BROOKSTREET SECURITIES CORPORATION
January 27, 1993 - May 24, 1994
WALNUT STREET SECURITIES, INC.
June 17, 1991 - September 25, 1992
UBS FINANCIAL SERVICES INC.
March 12, 1985 - July 17, 1991
PRINCIPAL SECURITIES, 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
MCCLURG CAPITAL CORPORATION
CRD#: 16798 / SEC#: , 8-34473
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 117 |
| AUM (Assets Under Management) | $ 83,283,986 |
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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