Lawrence 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.
Lawrence Alexander Smith IV, who also goes by Alex Smith, Lawrence Smith, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 3 firms and has passed the Series 63 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
June 10, 1994 - April 29, 1997
J.C. BRADFORD & CO.
July 31, 1993 - July 5, 1994
CITIGROUP GLOBAL MARKETS INC.
July 8, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
April 21, 1987 - July 15, 1991
CITIGROUP GLOBAL MARKETS 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
J.C. BRADFORD & CO.
CRD#: 1287 / SEC#: , 8-3953
Contact information
Documents
Disclosures
| Regulatory Event | 35 |
| Civil Event | 2 |
| Arbitration | 7 |
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.
