Trent S. 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.
Trent S Smith, who also goes by Trent Steven Smith, was a registered financial professional .
Trent is a previously registered financial professional and started their career in finance in 1993. Trent had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - June 21, 2017
TD AMERITRADE, INC.
March 17, 2017 - June 21, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 10, 2017 - June 21, 2017
TD AMERITRADE, INC.
February 9, 2001 - January 27, 2016
STRATEGIC ADVISERS LLC
February 1, 1994 - January 13, 2016
FIDELITY BROKERAGE SERVICES LLC
October 22, 1993 - December 7, 1993
ZIONS DIRECT, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
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.
