Keith H. 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.
Keith Holland Smith was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1998. Keith had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2014 - November 2, 2015
BRIDGE CAPITAL ASSOCIATES, INC.
June 1, 2009 - July 22, 2009
MORGAN STANLEY
June 1, 2009 - July 22, 2009
MORGAN STANLEY
October 25, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 13, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 14, 1998 - October 13, 2003
STEPHENS
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
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
