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GS

Gregory J. Smith

Some features on this profile are disabled
CRD#: 1342428
GS

Professional summary

Gregory Joseph Smith was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Gregory had worked at 13 firms, which includes SICOR SECURITIES INC, QUESTAR CAPITAL CORPORATION, RUSSIAN RIVER FINANCIAL SERVICES INC., LEGACY FINANCIAL SERVICES INC., THE O.N. EQUITY SALES COMPANY, VOYA FINANCIAL ADVISORS INC., SECURITIES AMERICA INC., TRANSAMERICA FINANCIAL ADVISORS LLC, OSAIC FS INC., TRANSAMERICA FINANCIAL ADVISORS INC., TRANSAMERICA SECURITIES SALES CORPORATION, MESA SECURITIES CORPORATION, TITAN/VALUE EQUITIES GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 8, 2002 - September 4, 2002

SICOR SECURITIES INC

RIA
CRD#: 16195
EL CAJON, CA
Past

October 31, 2001 - September 4, 2002

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH
Past

September 14, 2001 - November 2, 2001

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MINNEAPOLIS, MN
Past

October 4, 1999 - September 19, 2001

RUSSIAN RIVER FINANCIAL SERVICES, INC.

BD
CRD#: 41794
HEALDSBURG, CA
Past

August 31, 1998 - October 11, 1999

LEGACY FINANCIAL SERVICES, INC.

BD
CRD#: 38697
PETALUMA, CA
Past

August 5, 1996 - August 19, 1998

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH
Past

November 17, 1995 - December 23, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

August 30, 1995 - October 30, 1995

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

December 11, 1993 - August 31, 1995

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

July 13, 1993 - December 15, 1993

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

July 15, 1987 - October 31, 1988

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
Past

July 15, 1987 - April 23, 1990

TRANSAMERICA SECURITIES SALES CORPORATION

BD
CRD#: 17970
LOS ANGELES, CA
Past

August 20, 1985 - September 30, 1985

MESA SECURITIES CORPORATION

BD
CRD#: 15206
Past

March 14, 1985 - August 19, 1985

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/16/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/9/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/9/1993
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/13/1985
Direct Participation Programs Representative Examination

Current Firm

SS
SICOR SECURITIES INC
S I SECURITIES, INC. | TOWER EQUITIES, INC. | TOWER EQUITIES INC | SICOR SECURITIES INC

CRD#: 16195 / SEC#: 801-31673, 8-33445

BD
Terminated by SEC on 12/14/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 04/01/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TIS HOLDINGS INCSTOCK HOLDER
LEHMAN, HEATH AFINANCIAL & OPERATIONS PRINCIPAL2395182
MERRICK, GREGORY LUNARPRESIDENT/DIRECTOR2933448
MERRICK, GREGORY LUNARCHIEF COMPLIANCE OFFICER2933448
MERRICK, SARA ANNSECRETARY/V-PRES/DIRECTOR2672417
THE DEMANGE ASSET MANAGEMENT COSTOCK HOLDER

Disclosures

Regulatory Event13
Arbitration1

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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Company Information

SICOR SECURITIES INC

CRD#: 16195

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