Alfred Smith
Professional Summary
Alfred Smith, who also goes by Alfred E Smith IV, was a registered financial advisor. Alfred was a previously registered financial professional and started their career in finance 2000 - 2013. Alfred had worked at 3 firms and has passed the Series 7 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alfred E Smith Iv
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
THE GRISWOLD COMPANY, INCORPORATED
Contact Information
Established
New York since 03/16/1988Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DODMAN, MARY CATHERINE | VOTING-COMMON | 3215210 |
| MCCOOEY, KEVIN CONNORS | VOTING-COMMON | 3215211 |
| MCCOOEY, MARK JOSEPH | PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER AND CORPORATE SECRETARY, CHAIRMAN OF THE BOARD, VOTING-COMMON | 2087890 |
| MCCOOEY, MICHAEL PIERCE | VOTING-COMMON | 2356020 |
| MCCOOEY, ROBERT HERBERT JR | VOTING-COMMON | 1291202 |
| RUDNET, MARC | NON-VOTING COMMON | 2752975 |
| GALVANI, JEFFREY KENNETH | CHIEF COMPLIANCE OFFICER | 3048728 |
| HAUPT, MICHAEL STUART | DIRECTOR, NON-VOTING COMMON | 2865821 |
| SMITH, ALFRED | OUTSIDE DIRECTOR | 1681387 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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