Scott W. 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.
Scott William Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 9 firms and has passed the Series 63, SIE, Series 3 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
July 30, 2013 - March 31, 2023
TRUIST SECURITIES, INC.
June 7, 2012 - August 8, 2013
MKM PARTNERS LLC
September 22, 2008 - June 27, 2011
BARCLAYS CAPITAL INC.
February 12, 2001 - September 22, 2008
LEHMAN BROTHERS INC.
August 7, 1996 - December 11, 2000
CREDIT SUISSE SECURITIES (USA) LLC
March 21, 1996 - August 21, 1996
VECTOR SECURITIES INTERNATIONAL, INC.
January 24, 1995 - February 21, 1996
KROLL SECURITIES LLC
May 6, 1987 - January 11, 1995
KIDDER, PEABODY & CO. INCORPORATED
April 25, 1986 - February 7, 1987
ANANTHA RAMAN & COMPANY, 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
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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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