Allison 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.
Allison Ritchie Smith, who also goes by Allison Claire Ritchie, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2004. Allison had worked at 4 firms and has passed the Series 63 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
January 22, 2008 - November 27, 2012
KBS CAPITAL MARKETS GROUP LLC
August 2, 2007 - January 23, 2008
JRL CAPITAL CORPORATION
April 29, 2004 - October 30, 2006
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 6, 2004 - March 2, 2004
FINACORP SECURITIES
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
KBS CAPITAL MARKETS GROUP LLC
CRD#: 132299 / SEC#: , 8-66581
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
