Randal F. Smith
Professional summary
Randal Franklin Smith is a registered financial professional currently at TEXAS SECURITIES, INC. located in Carrollton, Texas.
Randal is registered as a RR (Registered Representative) and started their career in finance in 2004. Randal has worked at 1 firm and has passed the Series 63, SIE, Series 99TO and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randal Franklin Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2004 - Present
TEXAS SECURITIES, INC.
Office #1: 4024 Nazarene Suite B, Carrollton, TX 75010Office #2: 4024 Nazarene Suite B, Carrollton, TX 75010State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 12/10/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
TEXAS SECURITIES, INC.
CRD#: 120148 / SEC#: , 8-65276
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
