Chester T. 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.
Chester Taber Smith JR was a registered financial professional .
Chester is a previously registered financial professional and started their career in finance in 1970. Chester had worked at 7 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 1979 - September 4, 1998
FIRST SENTINEL SECURITIES LTD.
May 24, 1978 - June 9, 1979
E. F. HUTTON & COMPANY INC
July 7, 1975 - January 2, 1979
KUHN, LOEB & CO. ASIA
September 24, 1974 - February 16, 1978
KUHN LOEB & CO. INCORPORATED
September 24, 1974 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
September 12, 1973 - April 30, 1974
G. H. WALKER, LAIRD INCORPORATED
June 23, 1970 - August 29, 1974
LAIRD 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: 5/23/1960
Registered Representative ExaminationSeries 40
Date: 9/25/1972
Registered Principal ExaminationCurrent Firm
FIRST SENTINEL SECURITIES LTD.
CRD#: 5876 / SEC#: , 8-16544
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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