Gregory T. 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.
Gregory Thomas Smith was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 4 firms and has passed the Series 63 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
April 19, 1991 - March 11, 1992
IAC SECURITIES, INC.
November 18, 1988 - April 18, 1991
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 26, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
July 24, 1985 - February 27, 1988
MORGAN STANLEY DW 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
IAC SECURITIES, INC.
CRD#: 14081 / SEC#: , 8-30220
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
