Ronald K. 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.
Ronald Keith Smith was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2008 - August 23, 2019
SMITH GROUP FINANCIAL CORPORATION
April 5, 2007 - March 11, 2008
QUESTAR ASSET MANAGEMENT, INC.
November 29, 2006 - March 11, 2008
QUESTAR CAPITAL CORPORATION
October 28, 2005 - December 11, 2006
OSAIC FS, INC.
October 26, 2005 - December 11, 2006
OSAIC FS, INC.
June 24, 2004 - October 26, 2005
EQUITABLE ADVISORS, LLC
June 18, 2004 - October 26, 2005
EQUITABLE ADVISORS, LLC
December 19, 2003 - June 7, 2004
MSI FINANCIAL SERVICES, INC.
December 10, 1998 - June 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 10, 1998 - June 7, 2004
MSI FINANCIAL SERVICES, INC.
September 12, 1997 - November 24, 1998
FORESTERS EQUITY SERVICES, INC.
September 16, 1985 - June 9, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMITH GROUP FINANCIAL CORPORATION
CRD#: 147236 / SEC#:
Contact information
Red Flags
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