Debra 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.
Debra Smith, who also goes by Debra Carnohan, Debra Plummer, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1996. Debra had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
November 7, 2000 - November 9, 2015
SUMMIT FINANCIAL GROUP INC
December 21, 1999 - August 13, 2015
SUMMIT BROKERAGE SERVICES, INC.
September 8, 1998 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
January 22, 1996 - September 9, 1998
SUNAMERICA SECURITIES, 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
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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.
