Richard R. Smith
Professional summary
Richard Russell Smith, who also goes by Richard R Smith, is a registered financial professional currently at BLACK OAK SECURITIES, INC. located in Williamsfield, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Russell Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2020 - Present
BLACK OAK SECURITIES, INC.
November 2, 2018 - January 6, 2020
OSAIC WEALTH, INC.
January 5, 2017 - November 2, 2018
SIGNATOR INVESTORS, INC.
June 22, 1999 - December 31, 2003
SIGNATOR INVESTORS, INC.
March 16, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 16, 1993 - December 31, 2016
SIGNATOR INVESTORS, 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
(11/16/2020)
(1/3/2020)
(11/8/2021)
(1/3/2020)
Exams
FINRA
Current Firm
BLACK OAK SECURITIES, INC.
CRD#: 30889 / SEC#: , 8-45219
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DWAN N | PRESIDENT & CHIEF COMPLIANCE OFFICER | 5985005 |
Red Flags
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