Gregory T. 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.
Gregory Thomas Smith was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2008. Gregory had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - April 11, 2024
TRIUMPH WEALTH ADVISORS, INC.
April 5, 2018 - May 7, 2018
BLUE DUCK WEALTH MANAGEMENT
March 9, 2016 - May 7, 2018
HOWARD CAPITAL MANAGEMENT, INC.
March 23, 2015 - February 23, 2016
FIRST ADVISORS NATIONAL, LLC
October 22, 2009 - April 30, 2013
PRUCO SECURITIES, LLC.
October 29, 2008 - April 30, 2013
PRUCO SECURITIES, 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
TRIUMPH WEALTH ADVISORS, INC.
CRD#: 153175 / SEC#: 801-79603
Contact information
Regulatory assets under management
| Total Number of Accounts | 252 |
| AUM (Assets Under Management) | $ 30,337,210 |
Red Flags
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