Bernard L. 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.
Bernard Lynne Smith III, who also goes by Bernie L Smith III, Bernie Lynne Smith III, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1986. Bernard had worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 1991 - January 13, 1993
DOMINION INVESTOR SERVICES, INC.
October 31, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
March 1, 1988 - January 31, 1989
SOURCE SECURITIES, INC.
June 26, 1987 - March 8, 1988
SECURITIES NETWORK, INC.
March 20, 1986 - July 14, 1987
RAYMOND JAMES FINANCIAL SERVICES, 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
