Alexander B. 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.
Alexander Bolling Smith, who also goes by Alex Bolling Smith, Alexander B Smith, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1995. Alexander had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2007 - December 31, 2007
MARLIN WEALTH MANAGEMENT, LLC
September 20, 2004 - March 5, 2018
THE ORR GROUP, LLC
June 14, 2004 - October 4, 2004
SALEM PARTNERS LLC
September 8, 1995 - July 21, 1997
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
Series 28
Date: 6/21/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent firm
No current employment
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.
