Brandon 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.
Brandon T Smith, who also goes by Brandon Thomas Smith, Brandon Smith, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2009. Brandon had worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 14 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
January 8, 2013 - January 7, 2022
LOCALSTAKE MARKETPLACE LLC
September 21, 2010 - November 16, 2011
J.P. MORGAN SECURITIES LLC
August 25, 2009 - September 10, 2010
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
LOCALSTAKE MARKETPLACE LLC
CRD#: 162726 / SEC#: , 8-69063
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.
