Paul A. 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.
Paul Anthony Smith was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 12 firms and has passed the Series 63, SIE 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
January 9, 2014 - November 26, 2014
TOUCHSTONE SECURITIES, INC.
July 19, 2011 - July 26, 2011
VALIC FINANCIAL ADVISORS, INC.
September 25, 2008 - July 29, 2009
CAPITAL BROKERAGE CORPORATION
February 20, 2008 - July 14, 2008
SIGNATOR FINANCIAL SERVICES, INC.
December 11, 2004 - February 21, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
March 14, 2001 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
September 27, 1999 - January 9, 2001
AFD, INC.
July 25, 1996 - August 18, 1998
ALLSTATE FINANCIAL SERVICES, LLC
June 1, 1994 - December 13, 1995
SECURITY DISTRIBUTORS
February 8, 1991 - March 20, 1993
CAPITAL BROKERAGE CORPORATION
January 25, 1991 - February 4, 1991
PACIFIC FIRST SECURITIES, LTD.
October 25, 1989 - January 8, 1991
IDS LIFE INSURANCE COMPANY
October 25, 1989 - January 8, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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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