Casey N. 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.
Casey Nevada Smith was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 1999. Casey had worked at 3 firms and has passed the Series 66, Series 63 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
November 4, 2010 - September 11, 2013
COASTAL PRIVATE WEALTH COUNSEL
February 20, 2003 - July 21, 2008
GOLDMAN SACHS WEALTH SERVICES, L.P.
November 2, 1999 - July 21, 2008
MERCER ALLIED COMPANY, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COASTAL PRIVATE WEALTH COUNSEL
CRD#: 153985 / SEC#:
Contact information
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.
