Gale E. 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.
Gale Elizabeth Smith, who also goes by Gale Smith, Gale Elizabeth Thompson, was a registered financial professional .
Gale is a previously registered financial professional and started their career in finance in 2011. Gale had worked at 3 firms and has passed the Series 63, Series 65, SIE 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
December 10, 2015 - August 17, 2022
PERCENSION WEALTH ADVISORS, LLC
July 26, 2012 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
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
PERCENSION WEALTH ADVISORS, LLC
CRD#: 160134 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 157 |
| AUM (Assets Under Management) | $ 25,600,000 |
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.
