Larry E. 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.
Larry Edward Smith was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 2003. Larry had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2020 - February 12, 2021
ADAPTATION FINANCIAL ADVISORS INC.
September 18, 2020 - February 17, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 27, 2020 - December 9, 2020
EISCHEN FINANCIAL GROUP
February 26, 2003 - June 8, 2020
NATIONWIDE INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
ADAPTATION FINANCIAL ADVISORS INC.
CRD#: 309192 / SEC#: 801-118982
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
ADAPTATION FINANCIAL ADVISORS INC.
CRD#: 309192 / SEC#: 801-118982
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 674 |
| AUM (Assets Under Management) | $ 217,147,998 |
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.
