Gregory E. 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.
Gregory Edward Smith, who also goes by Gregory Edward Bramwell-smith, Gregory Edward Bramwellsmith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1998. Gregory had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2017 - June 12, 2017
SCOTTRADE INVESTMENT MANAGEMENT
November 6, 2015 - June 12, 2017
SCOTTRADE, INC.
November 18, 2014 - June 18, 2015
WEALTHFORGE SECURITIES, LLC
June 9, 2004 - July 5, 2005
CITICORP INVESTMENT SERVICES
June 9, 2004 - July 5, 2005
CITICORP INVESTMENT SERVICES
November 7, 2003 - April 26, 2004
WELLS FARGO INVESTMENTS, LLC
January 7, 2003 - April 26, 2004
WELLS FARGO INVESTMENTS, LLC
June 16, 2000 - January 3, 2003
CHARLES SCHWAB & CO., INC.
June 11, 1999 - February 15, 2000
GUARANTY BROKERAGE SERVICES, INC.
December 16, 1998 - June 15, 1999
PRUCO SECURITIES, LLC.
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
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.
