Marcus 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.
Marcus Wellington Smith, who also goes by Marcus Wellington Smith Jr, Mark Smith, was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 1986. Marcus had worked at 5 firms and has passed the Series 63, Series 6 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 27, 2011 - November 5, 2012
MATRIX CAPITAL GROUP, INC.
March 2, 2010 - March 29, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
September 18, 2007 - May 19, 2008
CHASE INVESTMENT SERVICES CORP.
July 21, 1988 - January 9, 1989
CRANE & CO. SECURITIES INCORPORATED
April 25, 1986 - July 22, 1986
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
MATRIX CAPITAL GROUP, INC.
CRD#: 33364 / SEC#: 801-61224, 8-46398
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| 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.
