Rebekah L. 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.
Rebekah Lee Smith, who also goes by Rebekah Etner, Bekah Smith, was a registered financial professional .
Rebekah is a previously registered financial professional and started their career in finance in 2012. Rebekah had worked at 2 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
September 30, 2019 - July 16, 2021
KORHORN FINANCIAL GROUP
May 6, 2013 - August 31, 2018
KORHORN FINANCIAL GROUP
November 14, 2012 - August 1, 2016
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
KORHORN FINANCIAL GROUP
CRD#: 128606 / SEC#: 801-78914
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
KORHORN FINANCIAL GROUP
CRD#: 128606 / SEC#: 801-78914
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,478 |
| AUM (Assets Under Management) | $ 934,546,730 |
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.
