Evan S. Small
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.
Evan Stuart Small, who also goes by Evan Stuart Small Mr, Evan Small, was a registered financial professional .
Evan is a previously registered financial professional and started their career in finance in 2007. Evan had worked at 3 firms and has passed the Series 66, Series 63, 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
March 8, 2018 - April 11, 2018
MONNESS CRESPI HARDT & CO., INC.
June 28, 2013 - March 7, 2018
MORGAN STANLEY
August 29, 2011 - March 7, 2018
MORGAN STANLEY
July 16, 2007 - December 1, 2010
SPENCER CLARKE 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
Current Firm
MONNESS CRESPI HARDT & CO., INC.
CRD#: 7424 / SEC#: , 8-21380
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
