Richard M. 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.
Richard M Smith, who also goes by Richard Michael Smith, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2025 - June 27, 2025
CAPFINANCIAL SECURITIES, LLC.
December 14, 2022 - May 11, 2023
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2016 - December 14, 2021
REGULUS FINANCIAL GROUP, LLC
June 8, 2010 - February 18, 2016
WOODBURY FINANCIAL SERVICES, INC.
September 3, 2009 - May 24, 2010
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
October 31, 2005 - September 9, 2009
OSAIC SERVICES, INC.
June 24, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 17, 2001 - June 25, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 1, 2001 - December 18, 2001
LPL FINANCIAL LLC
July 13, 2000 - February 7, 2001
MML INVESTORS SERVICES, LLC
September 11, 1995 - June 16, 2000
OLD KENT FINANCIAL ADVISORS
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
CAPFINANCIAL SECURITIES, LLC.
CRD#: 126291 / SEC#: , 8-65870
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE CAPFINANCIAL GROUP, LLC | MEMBER | |
| BUCHANAN, DENISE MCGEE | CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO | 1284353 |
| EARLS, MARY CHRISTINE | SENIOR DIRECTOR/FINOP | 6178047 |
| HOYLE, WILSON SMITH III | MANAGING DIRECTOR | 2444392 |
| SHOFF, DERICK DON | MANAGING DIRECTOR | 1140640 |
| STROTHER, MICHAEL DAVID | SENIOR DIRECTOR, FINOP | 2457427 |
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.
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