Curtis 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.
Curtis Lynwood Smith was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1994. Curtis had worked at 6 firms and has passed the Series 63, Series 7 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
October 6, 1998 - September 1, 2000
QUEST CAPITAL STRATEGIES, INC.
June 18, 1997 - January 16, 1998
IDS LIFE INSURANCE COMPANY
June 18, 1997 - January 16, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 25, 1996 - March 3, 1997
ANDREW GARRETT INC.
June 7, 1995 - July 27, 1995
VFG SECURITIES, INC.
February 4, 1994 - February 9, 1995
MONTANO SECURITIES CORPORATION
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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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