Steven R. 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.
Steven Reid Smith was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 3, 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
February 11, 1995 - June 7, 1995
FIRST MONTAUK SECURITIES CORP.
October 3, 1994 - February 24, 1995
MERIDIAN, DUNHILL & CO., INC.
April 13, 1994 - October 3, 1994
DUNHILL EQUITIES, INC.
June 16, 1993 - February 9, 1994
MORGAN STANLEY DW INC.
October 11, 1991 - May 19, 1993
KIDDER, PEABODY & CO. INCORPORATED
August 28, 1991 - September 17, 1991
INVESTACORP, INC.
May 1, 1989 - August 24, 1989
W.H. NEWBOLD'S SON & CO., INC.
October 4, 1988 - May 1, 1989
HOPPER SOLIDAY & CO., INC.
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 28
Date: 5/8/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
