Phillip G. 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.
Phillip Gary Smith was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1975. Phillip had worked at 7 firms and has passed the Series 63, SIE, 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 6, 2013 - November 7, 2018
VAN CLEMENS & CO. INCORPORATED
June 20, 2011 - May 3, 2013
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
September 16, 2002 - June 20, 2011
FELTL & COMPANY
December 13, 1993 - September 16, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
July 15, 1981 - December 6, 1993
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 5, 1978 - July 9, 1981
DAIN RAUSCHER INCORPORATED
November 24, 1975 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
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
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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