Gale L. 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.
Gale Lynn Smith, who also goes by Gale L Smith, was a registered financial professional .
Gale is a previously registered financial professional and started their career in finance in 1979. Gale had worked at 7 firms and has passed the Series 63, Series 7, Series 27, Series 53, Series 4 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
August 13, 2007 - December 16, 2019
GALE L. SMITH & COMPANY, INC.
January 18, 1984 - May 3, 1991
AMERICAN DISCOUNT BROKERS, INC.
January 17, 1984 - May 13, 1991
AMERICAN STOCKBROKERS, INC.
May 3, 1982 - February 2, 1984
BURGESS & LEITH INCORPORATED
April 17, 1980 - May 14, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
January 31, 1980 - May 3, 1980
UBS FINANCIAL SERVICES INC.
February 1, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GALE L. SMITH & COMPANY, INC.
CRD#: 117594 / SEC#:
Contact information
Red Flags
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