Tyler 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.
Tyler Crawford Smith, who also goes by 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 65, Series 63, 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
November 22, 2013 - July 13, 2016
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
November 22, 2013 - July 13, 2016
CAREY, THOMAS, HOOVER, & BREAULT, INC.
July 24, 2012 - December 12, 2013
BROOKSTONE CAPITAL MANAGEMENT LLC
November 7, 2011 - March 21, 2012
EQUITABLE ADVISORS, 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
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
CRD#: 155330 / SEC#: 801-71905
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.
