Patrick W. 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.
Patrick William Smith, who also goes by Patrick William Smith, Patrick Smith, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2018. Patrick had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 34 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2022 - July 20, 2023
FIRST NATIONAL CAPITAL MARKETS
May 11, 2018 - January 7, 2019
TD AMERITRADE, 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
Series 7TO
Date: 10/20/2022
General Securities Representative ExaminationCurrent Firm
FIRST NATIONAL CAPITAL MARKETS
CRD#: 115920 / SEC#: 801-71101, 8-53514
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL INVESTMENT BANKING, INC. | DIRECT OWNER | |
| RICHTER, CHARLES HENRY | CHIEF COMPLIANCE OFFICER | 1839310 |
Disclosures
| Regulatory Event | 2 |
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.
