Benjamin 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.
Benjamin Andrew Smith III, who also goes by Benj. A Smith III, Benjamin A Smith III, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2003. Benjamin had worked at 2 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2014 - April 19, 2022
SMITH ASSOCIATES, LLC
March 5, 2003 - December 31, 2005
SMITH & ASSOCIATES INVESTMENT MANAGEMENT SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
SMITH ASSOCIATES, LLC
CRD#: 142408 / SEC#: 802-75717
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 9/24/2014 |
Red Flags
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