Gregory W. Smith
Professional summary
Gregory Warren Smith, who also goes by Greg Smith, is a registered financial professional currently at FTP SECURITIES LLC located in San Francisco, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1994. Gregory has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Warren Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2014 - Present
FTP SECURITIES LLC
Office #1: 100 California Street 7th Floor, San Francisco, CA 94111Office #2: 100 California Street 7th Floor, San Francisco, CA 94111June 6, 2011 - February 4, 2014
STERNE, AGEE & LEACH, INC.
April 14, 2009 - June 6, 2011
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
July 24, 2002 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2001 - April 11, 2002
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
June 14, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
August 6, 1997 - June 23, 1999
NATIONAL BANK OF CANADA FINANCIAL INC.
September 9, 1994 - June 11, 1997
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
(2/7/2014)
Exams
FINRA
Current Firm
FTP SECURITIES LLC
CRD#: 129356 / SEC#: , 8-66218
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
