Curtis H. Smiley
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.
Curtis Howard Smiley was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 2001. Curtis had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2021 - December 31, 2025
GREAT POINT CAPITAL LLC
May 11, 2021 - August 9, 2021
TCFG WEALTH MANAGEMENT, LLC
December 3, 2012 - April 29, 2020
PRIMEX
October 31, 2011 - August 2, 2012
SANDLAPPER SECURITIES, LLC
February 16, 2011 - June 13, 2011
MCL FINANCIAL GROUP, INC.
February 9, 2008 - February 13, 2009
STEVEN L. FALK & ASSOCIATES INC.
February 1, 2005 - February 6, 2008
INDEPENDENT FINANCIAL GROUP, LLC
July 20, 2004 - February 4, 2005
GUNNALLEN FINANCIAL, INC
December 4, 2001 - July 25, 2002
GUNNALLEN FINANCIAL, 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
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
