Travis 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.
Travis Smith, who also goes by Travis L Smith, Travis Lamont Smith, was a registered financial advisor .
Travis is a previously registered financial advisor and started their career in finance in 2004. Travis had worked at 6 firms and has passed the Series 65, Series 63 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
February 20, 2013 - September 10, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
February 19, 2013 - September 10, 2014
ALLSTATE FINANCIAL SERVICES, LLC
April 19, 2012 - January 3, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
April 18, 2012 - January 3, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
February 15, 2011 - December 15, 2011
FORESTERS EQUITY SERVICES, INC.
May 21, 2009 - December 6, 2010
EQUITY SERVICES, INC.
May 21, 2009 - December 6, 2010
EQUITY SERVICES, INC.
October 18, 2007 - April 13, 2009
NEW ENGLAND SECURITIES
June 22, 2004 - April 13, 2009
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
