Earl C. 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.
Earl Clarence Smith, who also goes by Earl C Smith, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1960. Earl had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 53, Series 4 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
September 16, 2004 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
August 18, 1995 - December 31, 1997
MYD MARKET, INC
June 7, 1985 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
July 21, 1980 - May 31, 1985
E. F. HUTTON & COMPANY INC
January 26, 1977 - August 30, 1980
ALEX. BROWN & SONS INCORPORATED
May 23, 1960 - March 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 5/23/1960
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
