Robert Smock
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.
Robert Smock was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2006. Robert had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2015 - September 8, 2015
BARDOWN CAPITAL LLC
June 25, 2015 - September 8, 2015
BAYES CAPITAL LLC
June 19, 2012 - September 15, 2014
AQUA SECURITIES L.P.
November 6, 2007 - March 13, 2012
BLOOMBERG TRADEBOOK LLC
September 28, 2006 - October 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2006 - October 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
BARDOWN CAPITAL LLC
CRD#: 158970 / SEC#: , 8-68953
Contact information
Documents
Direct owners and executive officers
Red Flags
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