Sydney S. 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.
Sydney S Smith was a registered financial professional .
Sydney is a previously registered financial professional and started their career in finance in 1969. Sydney had worked at 4 firms and has passed the Series 3, Series 1 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
July 25, 1984 - July 31, 1998
NATIONAL SECURITIES CORPORATION
September 13, 1983 - June 18, 1984
CITIGROUP GLOBAL MARKETS INC.
March 23, 1978 - July 31, 1998
NATIONAL SECURITIES CORPORATION
December 18, 1972 - March 23, 1978
NATIONAL SECURITIES CORPORATION
January 21, 1969 - November 26, 1972
DUPONT WALSTON, 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
Series 1
Date: 1/10/1957
Registered Representative ExaminationSeries 00
Date: 1/10/1967
General Securities Principal ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
