Martin C. 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.
Martin Clay Smith, who also goes by Martin Smith, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 2011. Martin had worked at 6 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
July 23, 2013 - October 28, 2013
QUESTAR ASSET MANAGEMENT, INC.
July 23, 2013 - October 28, 2013
QUESTAR CAPITAL CORPORATION
June 18, 2012 - July 1, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 14, 2012 - July 1, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 15, 2012 - May 31, 2012
VALIC FINANCIAL ADVISORS, INC.
February 14, 2012 - May 31, 2012
VALIC FINANCIAL ADVISORS, INC.
January 17, 2012 - February 23, 2012
WADDELL & REED
December 1, 2011 - February 23, 2012
WADDELL & REED
July 25, 2011 - August 11, 2011
MSI FINANCIAL SERVICES, 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
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
