Ian C. Smith
Professional summary
Ian Clark Smith is a registered financial professional currently at RINCON SECURITIES GROUP LLC located in Westlake Village, California.
Ian is registered as a RR (Registered Representative) and started their career in finance in 2013. Ian has worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ian Clark Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2020 - Present
RINCON SECURITIES GROUP LLC
Office #1: 3027 Townsgate Road Suite 230, Westlake Village, CA 91361Office #2: 3027 Townsgate Road Suite 230, Westlake Village, CA 91361February 21, 2017 - October 22, 2018
FINANCE OF AMERICA SECURITIES LLC
June 24, 2014 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
October 19, 2013 - July 8, 2014
BANC OF MANHATTAN CAPITAL
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RINCON SECURITIES GROUP LLC
CRD#: 305718 / SEC#: , 8-70408
Contact information
Documents
Red Flags
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Company Information
RINCON SECURITIES GROUP LLC
CRD#: 305718Westlake Village, CA 91361TRUST BUT VERIFY
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