Robert J. 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.
Robert John Smith III, who also goes by Dr. Robert John Smith III, Robert John III Smith, Robert John Smith Lll Iii, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1990. Robert had worked at 14 firms and has passed the Series 65, 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
March 19, 2007 - September 7, 2007
COSTA FINANCIAL SECURITIES, INC.
October 18, 2005 - October 17, 2006
SIGNATOR INVESTORS, INC.
August 23, 2005 - October 17, 2006
SIGNATOR INVESTORS, INC.
January 8, 2004 - August 15, 2005
EAGLE STRATEGIES LLC
July 14, 2003 - August 3, 2005
NYLIFE SECURITIES LLC
February 5, 2002 - June 20, 2003
EQUITABLE ADVISORS, LLC
December 22, 1999 - February 28, 2002
MONY SECURITIES CORPORATION
May 23, 1997 - February 9, 1999
PRINCIPAL SECURITIES, INC.
November 9, 1995 - June 5, 1996
SIGMA FINANCIAL CORPORATION
June 13, 1995 - September 13, 1995
MCC SECURITIES, INC.
March 5, 1991 - August 5, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 5, 1991 - August 5, 1994
SIGNATOR INVESTORS, INC.
August 7, 1990 - November 8, 1990
IDS LIFE INSURANCE COMPANY
August 7, 1990 - November 8, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 1990 - June 8, 1990
J. W. GANT & ASSOCIATES, INC.
March 20, 1990 - March 4, 1991
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
COSTA FINANCIAL SECURITIES, INC.
CRD#: 45039 / SEC#: , 8-50937
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
