Gordon L. 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.
Gordon Lee Smith was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1968. Gordon had worked at 3 firms and has passed the Series 65, Series 63, PC, Series 1, Series 4, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2012 - October 29, 2014
BALTIMORE CAPITAL MANAGEMENT, INC.
April 21, 1993 - December 31, 2005
ARMATA PARTNERS, L.P.
May 14, 1968 - June 18, 1991
ALEX. BROWN & SONS INCORPORATED
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
PC
Date: 11/8/1986
AMEX Put and Call ExamSeries 1
Date: 5/8/1968
Registered Representative ExaminationSeries 40
Date: 12/14/1977
Registered Principal ExaminationCurrent Firm
BALTIMORE CAPITAL MANAGEMENT, INC.
CRD#: 109949 / SEC#: 801-110282
Contact information
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.
