Philip 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.
Philip Macaulay Smith, who also goes by Philip M Smith, Philip Macauly Smith, was a registered financial advisor .
Philip is a previously registered financial advisor and started their career in finance in 1970. Philip had worked at 5 firms and has passed the Series 63, Series 1 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 16, 2001 - December 18, 2009
MACAULAY INVESTMENT PARTNERS LLC
September 6, 1990 - August 18, 1997
MONTGOMERY SECURITIES
August 29, 1978 - September 25, 1990
PACIFIC SECURITIES, INC.
November 14, 1977 - September 22, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
July 20, 1970 - October 23, 1977
SHUMAN, AGNEW & CO., 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: 8/30/1968
Registered Representative ExaminationSeries 40
Date: 5/25/1972
Registered Principal ExaminationCurrent firm
No current employment
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.
