Robert H. 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 Harry Smith was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 10, Series 9, Series 4 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
April 4, 2011 - October 4, 2012
CAPITAL ONE FINANCIAL ADVISORS LLC
November 17, 2008 - October 4, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
January 18, 2006 - August 30, 2007
LPL FINANCIAL LLC
January 18, 2006 - August 30, 2007
LPL FINANCIAL LLC
November 13, 2003 - July 15, 2005
WAMU INVESTMENTS, INC.
January 10, 2002 - July 15, 2005
WAMU INVESTMENTS, INC.
December 13, 2000 - March 13, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 12, 2000 - December 20, 2001
WELLS FARGO INVESTMENTS, LLC
October 18, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
October 12, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 16, 1997 - September 14, 1999
BANC ONE SECURITIES CORPORATION
October 26, 1990 - January 28, 1993
BANC ONE SECURITIES CORPORATION
September 7, 1990 - October 26, 1990
MBANK CAPITAL MARKETS, INC.
January 19, 1988 - April 19, 1988
CLAREMONT FINANCIAL SERVICES
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
Red Flags
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