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Tony Raynard Smith

CRD# 2092951·Registered 1991 - 1998
Previously Registered: Being a previously registered professional could mean that Tony 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.

Professional Summary

Tony Raynard Smith was a registered financial advisor. Tony was a previously registered financial professional and started their career in finance 1991 - 1998. Tony had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

THE MALACHI GROUP, INC.·CRD# 42320
BD
Atlanta, GA
August 19, 1997 - October 9, 1998
L.B. SAKS, INC.·CRD# 34070
BD
September 29, 1994 - June 11, 1997
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
September 26, 1992 - August 18, 1994
A.S. GOLDMEN & CO., INC.·CRD# 23180
BD
Red Bank, NJ
August 20, 1991 - September 23, 1992
D. H. BLAIR & CO., INC.·CRD# 6833
BD
New York, NY
May 15, 1991 - August 16, 1991
SOUTH RICHMOND SECURITIES, INC.·CRD# 14913
BD
January 11, 1991 - January 18, 1991
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
January 11, 1991 - February 1, 1991

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Current Firm

TM
THE MALACHI GROUP, INC.

THE MALACHI GROUP, INC.

CRD#: 42320 / SEC#: 8-49804
BD
Cancelled by SEC on 08/11/2006

Contact Information

Established

Georgia since 10/25/1996

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
MALACHI HOLDINGS , INC.SHAREHOLDER—
BINGHAM, PORTER BERNARDPRESIDENT/DIRECTOR, SECURITIES SALES SUPERVISOR1450227
BUTTS, HAL JR.FINANCIAL & OPERATIONS PRINCIPAL4029277
DIGGS, THOMAS JRDIRECTOR OF OPERATIONS/COMPLIANCE2076538
PEDROSO, BELINDA MARIAMUNICIPAL SECURITIES PRINCIPAL2793479

Disclosures

Regulatory Event

7

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1991About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1995About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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