Christopher G. Smyth
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.
Christopher George Smyth was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1997. Christopher had worked at 11 firms and has passed the Series 63, Series 7, Series 4 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 1, 2004 - July 15, 2005
MIRAMAR SECURITIES, LLC
January 10, 2003 - September 30, 2004
SAXONY SECURITIES, INC.
May 20, 2002 - October 1, 2002
AVALON PARTNERS, INC.
May 20, 2002 - November 18, 2002
INDIANAPOLIS SECURITIES, INC.
March 20, 2001 - July 26, 2001
DPEC CAPITAL, INC.
February 26, 1999 - March 26, 2001
GILFORD SECURITIES INCORPORATED
August 14, 1998 - December 31, 1998
TEJAS SECURITIES GROUP, INC.
June 7, 1998 - July 13, 1998
JOSEPH GUNNAR & CO. LLC
January 22, 1998 - April 24, 1998
WINDSOR STREET CAPITAL, LP
December 16, 1997 - February 2, 1998
JOSEPH DILLON & COMPANY INC.
March 24, 1997 - November 24, 1997
MAIDSTONE FINANCIAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MIRAMAR SECURITIES, LLC
CRD#: 37955 / SEC#: , 8-48049
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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