Robert M. Smart
Professional summary
Robert Michael Smart was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Robert had worked at 6 firms, which includes QA3 FINANCIAL CORP., GROVE POINT INVESTMENTS LLC, NEW ENGLAND SECURITIES, MUTUAL SERVICE CORPORATION, LOWRY FINANCIAL SERVICES CORPORATION, LINCOLN FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2003 - June 21, 2004
QA3 FINANCIAL CORP.
September 8, 2000 - July 22, 2003
GROVE POINT INVESTMENTS, LLC
February 23, 1999 - August 28, 2000
NEW ENGLAND SECURITIES
March 31, 1989 - December 31, 1998
MUTUAL SERVICE CORPORATION
February 8, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
March 15, 1977 - January 11, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/10/1977
Registered Representative ExaminationCurrent Firm
QA3 FINANCIAL CORP.
CRD#: 14754 / SEC#: , 8-31155
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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