Rex J. 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.
Rex J Smith was a registered financial professional .
Rex is a previously registered financial professional and started their career in finance in 1991. Rex had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2007 - December 31, 2011
AMERICAN FUNDS & TRUSTS INCORPORATED
August 7, 2002 - April 13, 2006
WORLD GROUP SECURITIES, INC.
October 9, 1991 - July 11, 2002
AVANTAX INVESTMENT SERVICES, 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
AMERICAN FUNDS & TRUSTS INCORPORATED
CRD#: 1066 / SEC#: , 8-6939
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 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.
