Thomas M. 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.
Thomas Matthew Smith, who also goes by Thomas M Smith, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 13 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 4, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2002 - December 13, 2002
BACK BAY CAPITAL, INC.
May 22, 2002 - October 18, 2002
CAPITAL SUISSE SECURITIES, INC.
April 19, 2001 - June 7, 2001
ROBERT VAN SECURITIES, INC.
November 2, 1998 - January 3, 2001
INTERFIRST CAPITAL CORPORATION
March 11, 1998 - June 9, 1998
THE HERITAGE GROUP, INC.
January 29, 1998 - March 9, 1998
MILESTONE FINANCIAL SERVICES, INC.
September 29, 1989 - September 19, 1997
SMITH CULVER INVESTMENTS
October 25, 1988 - October 31, 1989
ACUMENT SECURITIES, INC.
February 23, 1988 - November 5, 1988
A. F. GREEN & COMPANY, INC.
November 25, 1986 - January 26, 1988
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
May 24, 1985 - August 23, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 19, 1980 - May 9, 1985
BIRR, WILSON & CO., INC.
January 19, 1980 - May 1, 1980
DAVIS, SKAGGS & CO., 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 55
Date: 6/28/2002
Limited Representative-Equity Trader ExamCurrent Firm
BACK BAY CAPITAL, INC.
CRD#: 22824 / SEC#: , 8-39991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ACCESS PARTNERS, LLC | OWNER | |
| CARAZOLEZ, ALBERT TOMMIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2204105 |
| GOROS, WILLIAM FREDERICK | VICE PRESIDENT |
Disclosures
| Regulatory Event | 4 |
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.
