Shawn J. Smith
Professional summary
Shawn Joseph Smith was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Shawn is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Shawn had worked at 3 firms, which includes CANTONE RESEARCH INC., R.D. WHITE & CO. INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 1997 - July 21, 1999
CANTONE RESEARCH INC.
May 19, 1997 - December 18, 1997
R.D. WHITE & CO., INC.
November 21, 1995 - May 8, 1997
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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