Hugh Kelly Smith
Professional Summary
Hugh Kelly Smith, who also goes by Beau Smith, H. Kelly Smith, was a registered financial advisor. Hugh was a previously registered financial professional and started their career in finance 1995 - 2005. Hugh had worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 30 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Beau Smith, H. Kelly Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
DIRECT XCHANGE SECURITIES, INC. | OMEGA RESEARCH CORPORATION
Contact Information
Established
Florida since 03/09/2004Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | — |
| NIKOLSON, JOSEPH | DIRECTOR | 2831577 |
| SREDNI, SALOMON | DIRECTOR | 4439138 |
| STONE, MARC J | VICE PRESIDENT, GENERAL COUNSEL, DIRECTOR, & SECRETARY | 4439254 |
| SUCHORA, MICHAEL ROBERT | FINANCIAL & OPERATIONS PRINCIPAL, SENIOR FINANCIAL OFFICER, AND TREASURER | 3058093 |
Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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