Gerald B. 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.
Gerald Bernard Smith was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1982. Gerald had worked at 7 firms and has passed the Series 63, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2003 - March 1, 2024
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**
July 2, 2002 - October 16, 2003
FORESIDE FUNDS DISTRIBUTORS LLC
March 28, 2002 - December 31, 2002
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**
February 12, 1992 - December 31, 1992
ADVANTAGE CAPITAL CORPORATION
November 13, 1989 - August 17, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
February 17, 1989 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 25, 1987 - August 22, 1988
WESTCAP GOVERNMENT SECURITIES, INC.
February 16, 1982 - August 22, 1988
WESTCAP SECURITIES, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**
CRD#: 107827 / SEC#: 801-36485
Contact information
Regulatory assets under management
| Total Number of Accounts | 37 |
| AUM (Assets Under Management) | $ 829,209,001 |
Red Flags
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