Emmett T. 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.
Emmett Taylor Smith III, who also goes by E T Smith, Emmett Taylor Smith III, Taylor Smith III, Taylor Smith, Emmett Taylor Smith, was a registered financial professional .
Emmett is a previously registered financial professional and started their career in finance in 1990. Emmett had worked at 26 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2019 - January 2, 2020
VIRTUE CAPITAL MANAGEMENT, LLC
June 20, 2016 - October 7, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2016 - October 7, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2015 - June 22, 2016
OSAIC SERVICES, INC.
January 26, 2015 - June 22, 2016
OSAIC SERVICES, INC.
August 20, 2013 - December 31, 2014
G. A. REPPLE & COMPANY
August 9, 2013 - December 31, 2014
G. A. REPPLE & COMPANY
July 26, 2012 - April 10, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
July 26, 2012 - April 10, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 9, 2012 - July 16, 2012
TRIAD ADVISORS LLC
January 9, 2012 - July 16, 2012
TRIAD ADVISORS LLC
January 2, 2009 - December 31, 2011
CENTAURUS FINANCIAL, INC.
January 2, 2009 - December 31, 2011
CENTAURUS FINANCIAL, INC.
March 11, 2008 - May 18, 2010
SSN ADVISORY, INC.
February 29, 2008 - December 31, 2008
SECURITIES SERVICE NETWORK, LLC
August 18, 2006 - March 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
August 16, 2006 - March 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
June 29, 2005 - August 18, 2006
ON INVESTMENT MANAGEMENT CO
June 29, 2005 - August 18, 2006
THE O.N. EQUITY SALES COMPANY
July 28, 2004 - July 11, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 22, 2004 - July 5, 2005
WORLD GROUP SECURITIES, INC.
December 4, 2002 - December 2, 2003
TRANSAMERICA CAPITAL, LLC
December 9, 1998 - December 16, 2002
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 13, 1998 - December 3, 1998
FSC SECURITIES CORPORATION
February 5, 1997 - March 11, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 20, 1995 - March 27, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 1995 - November 22, 1995
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 19, 1994 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
February 17, 1994 - November 10, 1994
WOODBURY FINANCIAL SERVICES, INC.
August 4, 1992 - January 7, 1994
WALNUT STREET SECURITIES, INC.
September 24, 1991 - July 31, 1992
MML INVESTORS SERVICES, LLC
April 12, 1991 - September 26, 1991
ROBERT W. BAIRD & CO. INCORPORATED
February 14, 1991 - October 1, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 1990 - December 21, 1990
FIDELITY EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
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
VIRTUE CAPITAL MANAGEMENT, LLC
CRD#: 167816 / SEC#: 801-79938
Contact information
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,111 |
| AUM (Assets Under Management) | $ 787,466,707 |
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.
