Edward N. Smither
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.
Edward Nichols Smither JR, who also goes by Ned Smither, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 7 firms and has passed the Series 63, SIE 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
March 14, 2015 - March 15, 2016
SMITHER & COMPANY CAPITAL MARKETS, LLC
September 1, 2011 - April 1, 2013
M&T SECURITIES, INC.
July 20, 2000 - October 6, 2010
MORGAN KEEGAN & COMPANY, LLC
October 1, 1999 - August 7, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 12, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 16, 1996 - May 13, 1998
FERRIS, BAKER WATTS, LLC
December 13, 1989 - September 5, 1996
CARTER KAPLAN & COMPANY
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
SMITHER & COMPANY CAPITAL MARKETS, LLC
CRD#: 139420 / SEC#: , 8-67213
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITHER & COMPANY, INC. | MEMBER/MEMBER MANAGER | |
| SMITHER, KENNETH W | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER | 1765794 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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