Rudolf Smutny
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.
Rudolf Smutny JR, who also goes by Rudy Smutny Jr, Rudy Smutny, was a registered financial professional .
Rudolf is a previously registered financial professional and started their career in finance in 1970. Rudolf had worked at 33 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2008 - January 18, 2013
DINOSAUR FINANCIAL GROUP, L.L.C
December 1, 2001 - February 19, 2008
SOURCE CAPITAL GROUP, INC.
February 16, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
September 2, 1998 - November 20, 2000
TRIAD SECURITIES CORP
February 13, 1996 - May 18, 1998
PURCELL GRAHAM INCORPORATED
December 1, 1995 - February 20, 1996
SPIRES FINANCIAL, L.P.
December 5, 1994 - October 11, 1995
WESTCAP SECURITIES, L.P.
February 4, 1994 - October 26, 1994
OPPENHEIMER & CO. INC.
January 3, 1994 - January 7, 1994
ADLER COLEMAN & CO., INC.
February 8, 1991 - November 24, 1993
GMS GROUP
July 25, 1990 - February 4, 1991
PIERCE & STONE SECURITIES, INC.
March 22, 1990 - July 30, 1990
PARAGON CAPITAL MARKETS, INC.
September 19, 1989 - March 17, 1990
HASAN GROWNEY CO. INC.
August 14, 1989 - September 9, 1989
ROBYNS CAPITAL CORP.
September 6, 1988 - May 15, 1989
FIRST INTERREGIONAL EQUITY CORP.
April 26, 1988 - August 12, 1988
HIGHLANDER CAPITAL GROUP, INC.
January 11, 1988 - March 14, 1988
UNDERHILL ASSOCIATES, INCORPORATED
October 29, 1986 - May 27, 1987
JHM, INC.
June 20, 1986 - August 6, 1986
INVESTMENT BANKERS AND BROKERS, INC.
April 26, 1985 - July 29, 1985
SHOENBERG, HIEBER INC.
November 27, 1984 - December 6, 1984
A. T. BROD & CO. INC.
April 3, 1984 - February 11, 1985
FIRSTMARK SECURITIES, INC.
January 13, 1984 - April 2, 1984
WALL STREET WEST, INC.
March 9, 1983 - December 5, 1983
TRIPP & CO., INC.
November 2, 1981 - February 14, 1983
PAULSON INVESTMENT COMPANY LLC
May 27, 1981 - July 29, 1981
JESUP & LAMONT SECURITIES CO., INC.
May 19, 1980 - May 15, 1981
PHILIPS, APPEL & WALDEN, INC.
August 31, 1979 - June 30, 1980
FRANK HENJES & COMPANY, INC.
March 26, 1979 - September 6, 1979
KORMENDI, BYRD BROTHERS, INC.
June 28, 1978 - March 26, 1979
WEEDEN & CO.
September 30, 1976 - June 15, 1978
THOMSON MCKINNON SECURITIES INC.
January 14, 1976 - August 16, 1976
CIBC WORLD MARKETS CORP.
August 19, 1970 - December 24, 1975
LEHMAN BROTHERS INCORPORATED
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 1
Date: 8/18/1959
Registered Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
