Martin E. 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.
Martin E Smith, who also goes by Martin E Smith, Martin Emerson Smith, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1994. Martin had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2026 - June 22, 2026
CLARENDON INSURANCE AGENCY, INC.
October 2, 2020 - August 28, 2025
CHARLES SCHWAB & CO., INC.
September 23, 1999 - August 28, 2025
CHARLES SCHWAB & CO., INC.
June 11, 1997 - August 31, 1999
CONSECO EQUITY SALES, INC.
March 14, 1994 - December 31, 1996
CHARLES SCHWAB & CO., 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
CLARENDON INSURANCE AGENCY, INC.
CRD#: 7395 / SEC#: , 8-21590
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
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.
