Marvin 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.
Marvin Henry Smith was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1988. Marvin had worked at 6 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2005 - February 7, 2006
REEF SECURITIES, INC.
July 28, 1993 - August 27, 1993
U.S. INVESTMENTS, INC.
June 10, 1993 - August 5, 1993
LONE STAR SECURITIES, INC.
July 30, 1991 - June 15, 1992
TOUCHSTONE CAPITAL CORPORATION
April 19, 1990 - May 11, 1990
TEXAKOMA FINANCIAL, INC.
December 23, 1988 - March 22, 1989
BALLY SECURITIES, 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
Current Firm
REEF SECURITIES, INC.
CRD#: 31951 / SEC#: , 8-45583
Contact information
FINRA licenses (32 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
