William G. Smith
Professional summary
William Gregory Smith, who also goes by Greg Smith, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Asheboro, North Carolina.
William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 6 firms and has passed the Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Gregory Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2002 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 535 S. Cox Street Suite C, Asheboro, NC 27203March 12, 1999 - July 11, 2002
INTERCAROLINA FINANCIAL SERVICES, INC.
February 25, 1998 - March 17, 1999
LEGACY FINANCIAL SERVICES, INC.
November 30, 1995 - December 31, 1997
NATHAN & LEWIS SECURITIES, INC.
February 1, 1995 - October 23, 1995
PINEBRIDGE SECURITIES LLC
January 6, 1994 - December 13, 1994
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/12/2011)
(7/11/2002)
Exams
Series 62
Date: 2/11/2008
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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