Thomas E. 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.
Thomas Earl Smith was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 5 firms and has passed the Series 63, Series 7, Series 6, 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
February 8, 2005 - May 9, 2012
KOVACK SECURITIES INC.
March 17, 2003 - October 29, 2004
LEO BROKERAGE, LLC
July 30, 1998 - March 17, 2003
PRO-INTEGRITY SECURITIES, INC.
May 5, 1997 - August 10, 1998
HARGER AND COMPANY, INC.
April 16, 1996 - May 2, 1997
SUNPOINT 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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