Meredith K. 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.
Meredith Kenneth Maurice Smith, who also goes by Meredith Kenneth Smith, was a registered financial professional .
Meredith is a previously registered financial professional and started their career in finance in 1970. Meredith had worked at 3 firms and has passed the Series 63, 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
September 2, 1982 - October 28, 1986
MARQUAM CAPITAL CORPORATION
September 1, 1982 - November 6, 1987
OMEGA NORTHWEST, INC.
June 10, 1982 - November 6, 1987
OMEGA NORTHWEST, INC.
February 9, 1973 - August 28, 1989
MARQUAM CAPITAL CORPORATION
October 20, 1970 - March 14, 1973
UNITED SECURITIES COMPANY OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 1/3/1962
Registered Representative ExaminationSeries 40
Date: 5/9/1975
Registered Principal ExaminationCurrent Firm
MARQUAM CAPITAL CORPORATION
CRD#: 5669 / SEC#: , 8-16399
Contact information
Documents
Red Flags
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