Heber 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.
Heber Chase Smith, who also goes by H Chase Smith, was a registered financial professional .
Heber is a previously registered financial professional and started their career in finance in 1963. Heber had worked at 12 firms and has passed the Series 63, Series 7, Series 1, Series 12, 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
April 5, 2004 - January 3, 2005
1ST DISCOUNT BROKERAGE, INC.
July 26, 2001 - October 29, 2002
FIRST MIDAMERICA INVESTMENT CORPORATION
June 9, 1994 - March 13, 2000
ACUMENT SECURITIES, INC.
March 18, 1992 - November 18, 1993
SCOTTRADE, INC.
March 4, 1987 - July 31, 1991
QUICK & REILLY, INC.
November 12, 1986 - December 16, 1986
NATIONAL SECURITIES CORPORATION
August 26, 1986 - October 22, 1986
AMERICA NORTHCOAST SECURITIES, INC.
March 2, 1981 - September 12, 1986
CHARLES SCHWAB & CO., INC.
July 15, 1980 - March 27, 1981
DALEY & COMPANY
May 1, 1979 - October 6, 1979
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
July 25, 1974 - May 7, 1975
BACHE & CO INCORPORATED
June 28, 1963 - May 5, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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: 7/22/1974
Registered Representative ExaminationSeries 12
Date: 5/21/1981
NYSE Branch Manager ExaminationCurrent Firm
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
