Jeffrey A. 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.
Jeffrey Anthony Smith, who also goes by Jeff Smith, Smitty Smith, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 12 firms and has passed the 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
February 13, 2009 - November 25, 2013
HALPERN CAPITAL, INC.
January 9, 2008 - February 9, 2009
MORGAN JOSEPH TRIARTISAN LLC
April 26, 2006 - January 9, 2008
CONSTANS CRESCENT GLOBAL LLC
January 29, 2004 - September 1, 2004
HALPERN CAPITAL, INC.
November 15, 2002 - February 18, 2004
INTERCOASTAL FINANCIAL SERVICES CORP.
November 4, 1998 - June 16, 1999
BARRON CHASE SECURITIES, INC.
March 27, 1996 - October 22, 1998
GKN SECURITIES CORP.
August 10, 1994 - March 14, 1996
GRUNTAL & CO., L.L.C.
March 23, 1994 - May 5, 1994
D. BLECH & COMPANY, INCORPORATED
November 3, 1992 - February 25, 1994
J.P. MORGAN SECURITIES LLC
August 29, 1991 - November 10, 1992
GRUNTAL & CO., L.L.C.
January 17, 1991 - August 30, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1989 - January 16, 1991
MORGAN KEEGAN & COMPANY, LLC
March 22, 1989 - August 10, 1989
HUBERMAN SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
HALPERN CAPITAL, INC.
CRD#: 119895 / SEC#: , 8-65234
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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