Fred N. 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.
Fred Neal Smith was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1991. Fred had worked at 13 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2011 - December 31, 2020
DONNA STAR INC
August 21, 2003 - August 22, 2011
DONNA STAR INC
December 4, 2002 - July 21, 2003
AARON CAPITAL INCORPORATED
May 23, 2002 - October 25, 2002
TRADEWAY SECURITIES GROUP, INC.
October 15, 2001 - July 17, 2002
PLATINUM INVESTMENT CORP.
July 8, 1999 - December 31, 2001
OAK BROOK SECURITIES CORP.
August 7, 1998 - July 19, 1999
QUEST CAPITAL STRATEGIES, INC.
January 4, 1996 - March 11, 1998
ACUMENT SECURITIES, INC.
November 9, 1995 - November 15, 1995
KENNEDY, CABOT & CO.
February 22, 1994 - September 29, 1995
MURIEL SIEBERT & CO., LLC
September 15, 1993 - February 24, 1994
QUINCY CASS ASSOCIATES, INCORPORATED
October 19, 1992 - February 4, 1993
MORGAN STANLEY DW INC.
April 27, 1992 - July 14, 1992
JMC INVESTMENT SERVICES, INC.
December 11, 1991 - February 13, 1992
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DONNA STAR INC
CRD#: 126794 / SEC#:
Contact information
Red Flags
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