Victor L. 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.
Victor L Smith, who also goes by VIctor Lloyd Smith Jr, was a registered financial advisor .
Victor is a previously registered financial advisor and started their career in finance in 2004. Victor had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 6 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
February 1, 2008 - February 25, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
November 15, 2007 - February 25, 2011
WORLD GROUP SECURITIES, INC.
February 23, 2006 - November 12, 2007
J.P. MORGAN SECURITIES LLC
August 17, 2004 - August 8, 2005
WORLD GROUP SECURITIES, 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
INVESTMENT ADVISORS INTERNATIONAL, INC.
CRD#: 139233 / SEC#: 801-66681
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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