Martin C. 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.
Martin Conway Smith was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1977. Martin had worked at 4 firms and has passed the Series 1, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 1987 - May 11, 1992
MARTIN C. SMITH SECURITIES, INC.
July 6, 1984 - June 25, 1987
MARTIN SMITH SECURITIES CORP.
July 29, 1980 - January 18, 1985
TBA FINANCIAL CORPORATION
January 18, 1977 - September 7, 1980
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 1/13/1977
Registered Representative ExaminationCurrent Firm
MARTIN C. SMITH SECURITIES, INC.
CRD#: 16997 / SEC#: , 8-34861
Contact information
Documents
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.
