Stephen A. 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.
Stephen Alexander Smith was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 52 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
September 10, 2010 - June 29, 2016
CLEAN ENERGY CAPITAL SECURITIES LLC
March 1, 2010 - October 13, 2010
DRAGONFLY CAPITAL PARTNERS, LLC
September 1, 2009 - February 20, 2010
NATIONAL SECURITIES CORPORATION
November 14, 2007 - February 12, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CLEAN ENERGY CAPITAL SECURITIES LLC
CRD#: 153321 / SEC#: , 8-68524
Contact information
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.
