Marlin B. 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.
Marlin Bryan Smith was a registered financial professional .
Marlin is a previously registered financial professional and started their career in finance in 1996. Marlin had worked at 5 firms and has passed the Series 66, 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
January 8, 2015 - June 6, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
January 8, 2015 - June 6, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
June 28, 2007 - January 9, 2015
CENTAURUS FINANCIAL, INC.
June 28, 2007 - January 9, 2015
CENTAURUS FINANCIAL, INC.
March 31, 2006 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
March 16, 2006 - June 27, 2007
BROOKSTREET SECURITIES CORPORATION
November 7, 2003 - December 12, 2005
CITIGROUP GLOBAL MARKETS INC.
September 18, 2003 - December 12, 2005
CITIGROUP GLOBAL MARKETS INC.
August 6, 1996 - January 20, 1997
JPMSI
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
