Hugh K. 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.
Hugh Kelly Smith, who also goes by Beau Smith, H. Kelly Smith, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1995. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2004 - August 29, 2005
OMEGA RESEARCH CORPORATION
May 9, 2002 - September 11, 2015
TRADESTATION SECURITIES, INC.
December 13, 1999 - June 13, 2002
OMEGA RESEARCH CORPORATION
April 13, 1995 - October 30, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
OMEGA RESEARCH CORPORATION
CRD#: 43068 / SEC#: , 8-50132
Contact information
Documents
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 | 1 |
Red Flags
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