F R. 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.
F Randall Smith was a registered financial professional .
F is a previously registered financial professional and started their career in finance in 1975. F had worked at 4 firms and has passed the Series 63, Series 65, Series 1, Series 40 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2021 - May 28, 2025
CAPITAL COUNSEL LLC
July 22, 1985 - January 28, 1992
BOSTON SECURITIES COMPANY
June 10, 1976 - August 9, 1985
BOSTON INVESTING CORPORATION
May 22, 1975 - November 10, 1975
L. F. ROTHSCHILD & CO. INCORPORATED
Primary Firm SEC Registration
CAPITAL COUNSEL LLC
CRD#: 109001 / SEC#: 801-56844
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: 5/17/1975
Registered Representative ExaminationSeries 40
Date: 2/23/1976
Registered Principal ExaminationSeries 00
Date: 12/15/1966
General Securities Principal ExaminationCurrent Firm
CAPITAL COUNSEL LLC
CRD#: 109001 / SEC#: 801-56844
Contact information
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 731 |
| AUM (Assets Under Management) | $ 2,603,303,319 |
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.
