Gregory J. Smith
Professional summary
Gregory John Smith is a registered financial professional currently at CFD INVESTMENTS, INC. located in Kokomo, Indiana.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory John Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2021 - Present
CFD INVESTMENTS, INC.
Office #1: 2704 S Goyer Rd, Kokomo, IN 46902September 27, 2001 - October 14, 2013
CREATIVE FINANCIAL DESIGNS, INC.
August 21, 2001 - September 30, 2013
CFD INVESTMENTS, 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 99TO
Date: 10/11/2021
Operations Professional ExaminationSeries 62
Date: 1/9/2004
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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Company Information
CFD INVESTMENTS, INC.
CRD#: 25427Kokomo, IN 46902TRUST BUT VERIFY
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