Gerald B. 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.
Gerald Bartholomew Smith, who also goes by Bart Smith, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 2001. Gerald had worked at 7 firms and has passed the Series 66, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2018 - July 15, 2022
GLOBAL EXECUTION BROKERS, LP
December 24, 2014 - July 15, 2022
SUSQUEHANNA SECURITIES, LLC
July 18, 2012 - April 14, 2015
SAL EQUITY TRADING, GP
July 2, 2012 - April 7, 2025
SUSQUEHANNA FINANCIAL GROUP, LLLP
May 28, 2009 - July 19, 2012
ALPS DISTRIBUTORS, INC.
June 26, 2007 - December 1, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 17, 2001 - June 8, 2007
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
GLOBAL EXECUTION BROKERS, LP
CRD#: 126407 / SEC#: , 8-65878
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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