Brenda A. Smith
Professional summary
Brenda Ann Smith was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brenda is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Brenda had worked at 6 firms, which includes MCG SECURITIES LLC, CV BROKERAGE INC, FUNDING CIRCLE SECURITIES LLC, ALIGNED MANAGER SERVICES LLC, DREXEL HAMILTON LLC, KILDARE CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2012 - February 25, 2013
MCG SECURITIES LLC
May 12, 2010 - June 17, 2019
CV BROKERAGE, INC
March 22, 2010 - February 28, 2011
FUNDING CIRCLE SECURITIES LLC
April 23, 2009 - June 16, 2011
ALIGNED MANAGER SERVICES LLC
September 26, 2007 - November 5, 2010
DREXEL HAMILTON, LLC
October 17, 2006 - January 2, 2008
KILDARE CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MCG SECURITIES LLC
CRD#: 163144 / SEC#: , 8-69068
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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