Michael V. 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.
Michael Van Smith was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 4 firms and has passed the Series 63 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
May 28, 1997 - January 16, 1998
GKN SECURITIES CORP.
January 13, 1997 - May 30, 1997
MORGAN GRANT CAPITAL CORP.
November 8, 1995 - October 25, 1996
JOSEPHTHAL & CO., INC.
September 18, 1995 - November 14, 1995
A. R. BARON & CO., INC.
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
GKN SECURITIES CORP.
CRD#: 19415 / SEC#: , 8-37442
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Civil Event | 1 |
| Arbitration | 15 |
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.
