Lee S. 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.
Lee Stanley Smith JR, who also goes by Lee Stanley Smith, Les Smith Jr, Les Smith, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1987. Lee had worked at 12 firms and has passed the Series 63, Series 7, Series 6 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
August 31, 2001 - April 14, 2003
THREE ARROWS CAPITAL CORP.
July 18, 1996 - March 9, 2000
SOUTHERN FINANCIAL GROUP, INC.
May 20, 1996 - June 10, 1996
AMERIPROP, INC.
February 22, 1995 - June 20, 1995
EMPIRE FINANCIAL GROUP, INC.
August 13, 1993 - April 11, 1995
TOWNSLEY ASSOCIATES & COMPANY, INC.
March 1, 1993 - June 15, 1993
MCCARLEY AND ASSOCIATES, INC.
January 15, 1992 - December 31, 1992
WORLD INVEST CORPORATION
September 13, 1990 - December 31, 1991
FIRST MONTAUK SECURITIES CORP.
May 14, 1990 - August 7, 1990
CENTURY CAPITAL CORP. OF SOUTH CAROLINA
April 4, 1990 - April 30, 1990
KFS BD, INC.
April 4, 1990 - May 7, 1990
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 27, 1987 - October 14, 1989
PRUCO SECURITIES, LLC.
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
THREE ARROWS CAPITAL CORP.
CRD#: 40669 / SEC#: , 8-49131
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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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