Dennis K. Smith
Professional summary
Dennis Kevin Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Dennis had worked at 13 firms, which includes RAYMOND C. FORBES & CO. INC., NATIVEONE INSTITUTIONAL TRADING LLC., TD PRIME SERVICES LLC, SANDGRAIN SECURITIES LLC, BLAYLOCK & COMPANY INC., PRUDENTIAL EQUITY GROUP LLC, CONSOLIDATED INTERCAPITAL CORPORATION, CURRENCY MANAGEMENT INTERNATIONAL INC., UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FAHNESTOCK INTERNATIONAL INC., E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2011 - October 24, 2012
RAYMOND C. FORBES & CO., INC.
January 24, 2011 - January 28, 2016
NATIVEONE INSTITUTIONAL TRADING, LLC.
August 24, 2010 - January 18, 2011
RAYMOND C. FORBES & CO., INC.
May 3, 2010 - August 13, 2010
TD PRIME SERVICES LLC
May 20, 2009 - June 1, 2010
SANDGRAIN SECURITIES LLC
May 27, 2005 - March 15, 2006
BLAYLOCK & COMPANY, INC.
May 5, 1995 - May 23, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 10, 1993 - October 13, 1993
CONSOLIDATED INTERCAPITAL CORPORATION
July 29, 1993 - April 1, 1994
CURRENCY MANAGEMENT INTERNATIONAL, INC.
May 21, 1986 - March 11, 1987
UBS FINANCIAL SERVICES INC.
September 19, 1984 - March 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 1982 - February 2, 1983
FAHNESTOCK INTERNATIONAL INC.
June 5, 1978 - April 23, 1984
E. F. HUTTON & COMPANY INC
April 21, 1977 - July 5, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 7/28/1993
Foreign Currency Options ExaminationCurrent Firm
RAYMOND C. FORBES & CO., INC.
CRD#: 33090 / SEC#: , 8-25064
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES GST TRUST FBO C. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.J. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO R. FORBES | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/TREAS/CFO/COO; SHAREHOLDER | 2106108 |
| FORBES, PATRICIA MARY | CHIEF COMPLIANCE OFFICER; SROP/CROP; SECRETARY; SHAREHOLDER | 2241513 |
| FORBES, PATRICK JOSEPH | VICE PRESIDENT SHAREHOLDER | 1940215 |
Disclosures
| Regulatory Event | 3 |
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.
