Alfred 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.
Alfred Smith, who also goes by Alfred E Smith IV, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 2000. Alfred had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2007 - March 7, 2013
THE GRISWOLD COMPANY, INCORPORATED
January 2, 2001 - February 7, 2007
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 2, 2001
HUNTER SPECIALISTS, 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
THE GRISWOLD COMPANY, INCORPORATED
CRD#: 32944 / SEC#: , 8-40096
Contact information
Documents
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 | 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.
