Kelly W. 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.
Kelly Warfield Smith was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1987. Kelly had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1993 - February 28, 1996
BANNER FINANCIAL SERVICES GROUP
September 6, 1990 - March 2, 1993
FIDELITY EQUITY SERVICES CORPORATION
August 28, 1989 - November 24, 1990
1717 CAPITAL MANAGEMENT COMPANY
August 5, 1987 - August 21, 1989
FIDELITY EQUITY SERVICES CORPORATION
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
BANNER FINANCIAL SERVICES GROUP
CRD#: 22886 / SEC#: , 8-40030
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
