Winfred P. 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.
Winfred Paul Smith was a registered financial professional .
Winfred is a previously registered financial professional and started their career in finance in 1998. Winfred had worked at 10 firms and has passed the Series 65, Series 63, Series 31 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
July 1, 2009 - June 11, 2014
TEMPLUM MARKETS LLC
January 11, 2008 - July 2, 2009
THOMAS ASSET MANAGEMENT
January 11, 2008 - July 2, 2009
THOMAS GROUP CAPITAL
October 29, 2007 - December 21, 2007
HEDGECO SECURITIES, LLC
March 14, 2005 - October 29, 2007
LIHTC SECURITIES, LLC
May 24, 2002 - May 19, 2003
INVEST FINANCIAL CORPORATION
May 21, 2002 - May 19, 2003
INVEST FINANCIAL CORPORATION
August 20, 2001 - May 20, 2002
SOUTHTRUST SECURITIES, LLC
April 11, 2000 - May 17, 2001
UVEST FINANCIAL SERVICES GROUP, INC.
March 2, 1999 - May 3, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 21, 1998 - February 12, 1999
MORGAN STANLEY DW 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
Current Firm
TEMPLUM MARKETS LLC
CRD#: 102840 / SEC#: , 8-52169
Contact information
FINRA licenses (53 States and Territories)
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.
