Geiger M. 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.
Geiger Merrill Smith JR was a registered financial professional .
Geiger is a previously registered financial professional and started their career in finance in 1971. Geiger had worked at 12 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2005 - December 20, 2006
FORTUNE FINANCIAL SERVICES, INC.
July 18, 2002 - August 13, 2003
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
January 13, 1997 - July 26, 2000
WALNUT STREET SECURITIES, INC.
May 18, 1995 - January 13, 1997
GUARDIAN INVESTOR SERVICES LLC
October 21, 1993 - May 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 21, 1993 - May 12, 1995
SIGNATOR INVESTORS, INC.
September 30, 1991 - September 15, 1993
MONY SECURITIES CORPORATION
August 26, 1987 - December 31, 1990
G. R. PHELPS & CO., INC.
December 28, 1977 - August 24, 1987
JOHN HANCOCK DISTRIBUTORS LLC
November 8, 1977 - December 30, 1979
CAPITAL PLACEMENT SERVICE
January 15, 1973 - May 16, 1976
VP DISTRIBUTORS LLC
October 15, 1971 - January 25, 1973
FML DISTRIBUTION COMPANY
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: 10/11/1971
Registered Representative ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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