Ryan C. Smith
Professional summary
Ryan Charles Smith, who also goes by Ryan Smith, is a registered financial professional currently at SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2019. Ryan has worked at 2 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 7TO, Series 6TO, SIE, Series 27, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ryan Charles Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2019 - Present
SWBC INVESTMENT SERVICES, LLC
Office #1: 9311 San Pedro Suite 600, San Antonio, TX 78216Office #2: 9311 San Pedro, Ste 600, San Antonio, TX 78216March 11, 2019 - May 15, 2019
FORESTERS FINANCIAL SERVICES, 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
(10/1/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 10/1/2022
Municipal Securities Representative ExaminationSeries 7TO
Date: 7/5/2020
General Securities Representative ExaminationSeries 6TO
Date: 3/10/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
SWBC INVESTMENT SERVICES, LLC
CRD#: 133715 / SEC#: , 8-66764
Contact information
FINRA licenses (49 States and Territories)
Red Flags
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