Tyler 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.
Tyler Benson Smith, who also goes by Tyler B Smith, Tyler Smith, was a registered financial professional .
Tyler is a previously registered financial professional and started their career in finance in 2011. Tyler had worked at 4 firms and has passed the Series 66, 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
May 18, 2021 - November 8, 2024
AMERICAN TRUST INVESTMENT SERVICES, INC.
April 2, 2018 - June 11, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 26, 2018 - June 11, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 4, 2015 - October 17, 2017
RBC CAPITAL MARKETS, LLC
November 4, 2015 - October 17, 2017
RBC CAPITAL MARKETS, LLC
September 19, 2011 - November 5, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2011 - November 5, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
