Robert 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.
Robert Eugene Smith, who also goes by Robert Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 5 firms and has passed the Series 99TO, Series 7TO, SIE 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
December 9, 2024 - April 16, 2026
ETC BROKERAGE SERVICES, LLC
October 4, 2019 - March 29, 2021
SECURITIES AMERICA, INC.
August 4, 2008 - October 4, 2019
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
September 7, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 7, 2000 - July 25, 2008
AMERIPRISE FINANCIAL SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/16/2022
General Securities Representative ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
