Randall J. 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.
Randall James Smith was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2003. Randall had worked at 5 firms and has passed the Series 66, 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
April 30, 2019 - December 9, 2022
SEACREST WEALTH MANAGEMENT, LLC
December 23, 2011 - July 10, 2015
PURSHE KAPLAN STERLING INVESTMENTS
March 7, 2007 - December 23, 2011
UBS FINANCIAL SERVICES INC.
February 28, 2007 - December 23, 2011
UBS FINANCIAL SERVICES INC.
April 4, 2005 - January 24, 2007
SMBC NIKKO SECURITIES AMERICA, INC.
September 8, 2003 - March 21, 2005
COMMERZBANK CAPITAL MARKETS CORP.
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
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.
