Gary A. 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.
Gary Alan Smith, who also goes by Gary A. Smith, was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1981. Gary had worked at 5 firms and has passed the Series 63, Series 7 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
May 14, 2002 - July 6, 2010
TOUCHSTONE INVESTMENT MANAGERS LLC
July 20, 1988 - August 8, 2012
BANYAN SECURITIES, LLC
September 27, 1985 - October 23, 1986
MONTGOMERY SECURITIES
August 17, 1983 - July 3, 1985
WELLS FARGO INVESTMENTS, LLC
January 19, 1981 - April 25, 1983
PRINCIPAL FINANCIAL SECURITIES,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
Current firm
No current employment
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.
