Corey E. Smith
Professional summary
Corey Evan Smith, who also goes by Corey E Smith, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.
Corey is registered as a RR (Registered Representative) and started their career in finance in 2005. Corey has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Corey Evan Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2020 - Present
GREAT POINT CAPITAL LLC
Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Office #2: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606October 3, 2016 - November 11, 2019
CETERA ADVISORS LLC
October 3, 2016 - November 11, 2019
CETERA ADVISORS LLC
March 11, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
March 2, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
February 27, 2015 - March 4, 2015
INVESTORS CAPITAL CORP.
January 17, 2014 - March 10, 2015
PRINCIPAL SECURITIES, INC.
June 17, 2005 - March 10, 2015
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/8/2020)
(2/24/2020)
(4/23/2020)
(2/7/2020)
(5/22/2023)
(10/6/2023)
(2/27/2020)
Exams
FINRA
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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