Stanley R. 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.
Stanley Robert Smith was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1970. Stanley had worked at 8 firms and has passed the Series 63, SIE, PC, 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
August 4, 2015 - December 31, 2020
EMPIRE ASSET MANAGEMENT COMPANY
May 5, 2004 - August 7, 2015
PLP CAPITAL
April 1, 1997 - April 27, 2004
DIRECT BROKERAGE, INC.
March 30, 1983 - April 11, 1997
FEDERATED MANAGEMENT INC.
August 22, 1980 - June 8, 1982
BECKER PARIBAS INCORPORATED
February 27, 1978 - April 14, 1980
CIBC WORLD MARKETS CORP.
December 23, 1976 - July 6, 1977
LADENBURG THALMANN & CO. INC.
March 9, 1970 - June 9, 1976
JAS. H. OLIPHANT & 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
PC
Date: 4/5/1990
AMEX Put and Call ExamSeries 1
Date: 11/10/1967
Registered Representative ExaminationSeries 40
Date: 3/27/1970
Registered Principal ExaminationCurrent Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
Red Flags
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