Kenneth W. Smither
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.
Kenneth W Smither, who also goes by Kenneth William Smither, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 28 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
June 7, 2006 - November 2, 2021
SMITHER & COMPANY CAPITAL MARKETS, LLC
August 17, 1998 - September 20, 2000
PFN FINANCIAL, L.L.C
August 31, 1996 - September 13, 1996
FERRIS, BAKER WATTS, LLC
August 8, 1989 - September 5, 1996
CARTER KAPLAN & COMPANY
November 25, 1987 - June 19, 1989
FINANCIAL CORPORATION OF VIRGINIA
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 4/6/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SMITHER & COMPANY CAPITAL MARKETS, LLC
CRD#: 139420 / SEC#: , 8-67213
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITHER & COMPANY, INC. | MEMBER/MEMBER MANAGER | |
| SMITHER, KENNETH W | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | 1765794 |
Red Flags
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