Gregory W. 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.
Gregory William Smith was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1980. Gregory had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2016 - December 31, 2016
EDI FINANCIAL, INC.
October 9, 2014 - September 29, 2015
MVP AMERICAN SECURITIES
January 24, 2011 - May 19, 2014
SELECT CAPITAL CORPORATION
August 23, 2010 - January 25, 2011
HERITAGE FINANCIAL SYSTEMS, LLC
October 2, 2009 - April 27, 2010
PRIVATE ASSET GROUP, INC.
July 16, 2008 - August 27, 2008
PRIVATE ASSET GROUP, INC.
July 16, 2008 - September 30, 2009
SELECT CAPITAL CORPORATION
February 22, 2007 - June 12, 2008
DIRECT CAPITAL SECURITIES, INC.
June 19, 2003 - June 6, 2006
OMNI BROKERAGE, INC.
March 30, 2001 - June 10, 2003
OSAIC FS, INC.
June 15, 1998 - June 10, 2003
OSAIC FS, INC.
July 30, 1996 - May 20, 1998
MACKEN SECURITIES, INC.
June 30, 1995 - June 6, 1996
LAGUNA SECURITIES, INC.
February 3, 1992 - September 25, 1995
TRIQUEST FINANCIAL, INC.
November 20, 1987 - February 11, 1992
G.L. LEAVITT FINANCIAL GROUP
November 20, 1981 - November 19, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 1981 - December 8, 1981
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 11, 1980 - June 12, 1981
INTEGRATED RESOURCES EQUITY CORPORATION
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: 8/2/1980
Registered Representative ExaminationCurrent Firm
EDI FINANCIAL, INC.
CRD#: 15699 / SEC#: , 8-32566
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 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.
