Scott D. 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.
Scott Daniel Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1995. Scott had worked at 3 firms and has passed the Series 63, SIE, 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
May 14, 2019 - November 2, 2020
COMMENDA SECURITIES, LLC
October 23, 1998 - July 5, 2017
CAIN BROTHERS & COMPANY, LLC
September 8, 1998 - September 30, 1998
CAIN BROTHERS & COMPANY, LLC
February 15, 1995 - September 11, 1998
B. C. ZIEGLER AND 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
COMMENDA SECURITIES, LLC
CRD#: 164664 / SEC#: , 8-69111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMENDA INC. | MEMBER FIRM | |
| SHEEHAN, TIMOTHY JAMES | MANAGING DIRECTOR AND PRINCIPAL, CEO, CCO | 2546510 |
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.
