Richard W. 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.
Richard Walter Smith, who also goes by Dick Smith, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1964. Richard had worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 1, Series 24, Series 53 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
February 22, 2019 - January 13, 2021
ALLIED MILLENNIAL PARTNERS, LLC
January 1, 2001 - March 28, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 2000 - January 1, 2001
MJK CLEARING, INC.
October 17, 1994 - March 14, 2000
AGINCOURT, LTD.
September 18, 1985 - March 20, 2017
R.W. SMITH & ASSOCIATES, LLC
August 5, 1985 - May 8, 1987
C. A. BOTZUM & CO.
May 25, 1982 - June 4, 1985
HAMMOND, PETERS & SMITH, INC.
August 13, 1980 - August 11, 1981
HSBC BROKERAGE (USA) INC.
December 11, 1979 - October 28, 1983
FAHNESTOCK INTERNATIONAL INC.
March 13, 1979 - December 21, 1979
PIPER SANDLER & CO.
September 27, 1977 - March 2, 1979
SEATTLE-NORTHWEST SECURITIES CORPORATION
June 29, 1964 - May 25, 1973
LM CONSOLIDATED FINANCIAL CORP.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 2/17/1961
Registered Representative ExaminationSeries 00
Date: 9/15/1972
General Securities Principal ExaminationCurrent Firm
ALLIED MILLENNIAL PARTNERS, LLC
CRD#: 16569 / SEC#: , 8-34176
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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