Sheldon L. 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.
Sheldon Lee Smith, who also goes by Sheldon L Smith, was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1997. Sheldon had worked at 13 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2025 - July 21, 2025
FIRST BANKERS' BANC SECURITIES, INC
November 7, 2024 - February 14, 2025
J. ALDEN ASSOCIATES, INC.
June 15, 2023 - September 25, 2024
SILVER OAK SECURITIES, INCORPORATED
August 9, 2022 - May 22, 2023
MEMPHIS CAPITAL
January 4, 2018 - November 3, 2020
COMMERCE STREET CAPITAL, LLC
November 18, 2016 - December 18, 2017
SUMMIT BROKERAGE SERVICES, INC.
November 5, 2015 - December 12, 2016
FIFTH THIRD SECURITIES, INC.
August 14, 2014 - September 8, 2015
BREAN CAPITAL, LLC
November 26, 2013 - August 25, 2014
LPL FINANCIAL LLC
June 22, 2011 - December 16, 2013
STERNE, AGEE & LEACH, INC.
November 3, 2006 - June 14, 2011
RAYMOND JAMES & ASSOCIATES, INC.
February 22, 2005 - November 9, 2006
TRUIST SECURITIES, INC.
October 30, 1997 - February 22, 2005
NBC CAPITAL MARKETS GROUP, 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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
FIRST BANKERS' BANC SECURITIES, INC
CRD#: 15041 / SEC#: , 8-31584
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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