Holland 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.
Holland David Smith, who also goes by Holland David Smith III, Holland David Smith, was a registered financial professional .
Holland is a previously registered financial professional and started their career in finance in 1993. Holland had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2016 - February 9, 2018
MISCHLER FINANCIAL GROUP, INC.
February 17, 2015 - December 1, 2015
NYLIFE SECURITIES LLC
July 8, 2014 - October 2, 2014
STATE FARM VP MANAGEMENT CORP.
January 13, 2004 - August 24, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
June 4, 2002 - December 31, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
May 8, 2000 - November 6, 2001
U.S. BANCORP ADVISORS, LLC
August 9, 1999 - April 19, 2000
ARAGON FINANCIAL SERVICES, INC.
May 4, 1998 - August 29, 1999
WAMU INVESTMENTS, INC.
June 3, 1997 - April 27, 1998
NEW ENGLAND SECURITIES
July 26, 1996 - May 6, 1997
ALLSTATE FINANCIAL SERVICES, LLC
October 16, 1995 - July 24, 1996
CETERA WEALTH SERVICES, LLC
February 14, 1995 - July 27, 1995
FIMCO SECURITIES GROUP, INC.
April 19, 1994 - February 3, 1995
LPL FINANCIAL LLC
November 19, 1993 - April 15, 1994
LINCOLN FINANCIAL DISTRIBUTORS, 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
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
