Vicki J. Smith
Professional summary
Vicki Jean Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Vicki is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Vicki had worked at 5 firms, which includes COUNTRY TRUST BANK, COUNTRY CAPITAL MANAGEMENT COMPANY, NATIONWIDE SECURITIES LLC, WS GRIFFITH SECURITIES INC., VP DISTRIBUTORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2004 - July 27, 2007
COUNTRY TRUST BANK
October 19, 2001 - June 25, 2013
COUNTRY CAPITAL MANAGEMENT COMPANY
January 24, 2001 - September 4, 2001
NATIONWIDE SECURITIES, LLC
June 7, 1993 - October 10, 1995
WS GRIFFITH SECURITIES, INC.
March 22, 1988 - June 7, 1993
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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