Robert E. Smith
Professional summary
Robert Eugene Smith, who also goes by Robert Smith, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has 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) - BD
Click below to view Robert Eugene Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240October 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 ExaminationFINRA
Current 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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Company Information
ETC BROKERAGE SERVICES, LLC
CRD#: 145276Dallas, TX 75240TRUST BUT VERIFY
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