Michael G. 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.
Michael Gerald Smith was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 8 firms and has passed the Series 55 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
September 30, 1991 - October 18, 2002
COMPREHENSIVE CAPITAL CORPORATION
January 8, 1991 - September 30, 1991
G. K. SCOTT & CO., INC.
January 22, 1990 - November 7, 1990
G. K. SCOTT & CO., INC.
May 30, 1989 - January 1, 1990
SACCO SECURITIES CORPORATION
January 3, 1989 - May 19, 1989
GLOBAL CAPITAL SECURITIES, INC.
September 15, 1988 - January 1, 1990
SACCO SECURITIES CORPORATION
January 8, 1987 - August 31, 1988
GREENTREE SECURITIES CORP.
November 12, 1986 - December 24, 1986
HUDSON SECURITIES,INC.
May 22, 1986 - November 4, 1986
UBS CAPITAL MARKETS L.P.
November 19, 1985 - April 29, 1986
NASH, WEISS & CO.
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
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
COMPREHENSIVE CAPITAL CORPORATION
CRD#: 6215 / SEC#: , 8-17087
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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