Samuel T. 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.
Samuel Todd Smith was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1996. Samuel had worked at 4 firms and has passed the Series 66, Series 63, Series 7, Series 4, Series 53 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
April 11, 2011 - October 3, 2014
FINANCIAL MANAGEMENT SERVICES, INC
September 19, 2008 - March 1, 2011
UMB FINANCIAL SERVICES, INC.
September 23, 2002 - February 28, 2007
CNBS
November 27, 1996 - May 4, 1999
THE BAKER GROUP, LP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL MANAGEMENT SERVICES, INC
CRD#: 115897 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
