Kirin 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.
Kirin Smith was a registered financial professional .
Kirin is a previously registered financial professional and started their career in finance in 2005. Kirin had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, 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
October 25, 2013 - March 8, 2023
OBERON SECURITIES, LLC
November 16, 2010 - October 28, 2011
TEJAS SECURITIES GROUP, INC.
January 6, 2009 - December 2, 2010
WYNSTON HILL CAPITAL, LLC
August 11, 2005 - October 15, 2008
ROBOTTI SECURITIES, LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
OBERON SECURITIES, LLC
CRD#: 132598 / SEC#: , 8-66607
Contact information
FINRA licenses (22 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.
