Preston S. 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.
Preston Sheffey Smith was a registered financial professional .
Preston is a previously registered financial professional and started their career in finance in 1980. Preston had worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2012 - May 4, 2020
THE CAPITAL MANAGEMENT CORPORATION
February 2, 2001 - May 31, 2006
ULTIMUS FUND DISTRIBUTORS, LLC
August 18, 1999 - November 17, 2000
IFS FUND DISTRIBUTORS, INC.
April 28, 1980 - March 30, 1984
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
THE CAPITAL MANAGEMENT CORPORATION
CRD#: 112242 / SEC#: 801-13252
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
Current Firm
THE CAPITAL MANAGEMENT CORPORATION
CRD#: 112242 / SEC#: 801-13252
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 643 |
| AUM (Assets Under Management) | $ 710,138,571 |
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.
