Rayford 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.
Rayford Paul Smith, who also goes by Ray Paul Smith, was a registered financial professional .
Rayford is a previously registered financial professional and started their career in finance in 2000. Rayford had worked at 5 firms and has passed the Series 66 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
August 16, 2004 - March 23, 2016
RAY SMITH, CPA, PLLC
October 16, 2003 - June 10, 2004
AVANTAX INVESTMENT SERVICES, INC.
June 13, 2001 - November 1, 2001
A. G. EDWARDS & SONS, INC.
May 23, 2000 - June 19, 2000
IDS LIFE INSURANCE COMPANY
May 23, 2000 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RAY SMITH, CPA, PLLC
CRD#: 131683 / 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.
