Alexander D. Weston 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.
Alexander Dominic Weston Smith, who also goes by Alexander Dominic Weston-smith, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2008. Alexander had worked at 3 firms and has passed the Series 65, Series 63, Series 31 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 18, 2010 - December 31, 2014
ALEXANDER DOMINIC WESTON SMITH
June 1, 2009 - March 3, 2010
MORGAN STANLEY
June 1, 2009 - March 3, 2010
MORGAN STANLEY
January 19, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALEXANDER DOMINIC WESTON SMITH
CRD#: 154745 / SEC#:
Contact information
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.
