Individual Firm
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GREGORY EARL SMITH
GREG SMITH, GREGORY SMITH, Gregory E Smith
CRD#: 1252027
IA
B
INNOVATION PARTNERS LLCCRD#: 146344 Fort Mill, SC
0
Disclosures
35
Years of Experience
View By:
State Registrations
IA
Arizona 10/1/2020
IA
Missouri 4/12/2021
IA
Arkansas 9/23/2020
B
Nevada 6/17/2020
IA
California 9/22/2020
IA
Nevada 10/5/2020
IA
Connecticut 9/23/2020
IA
North Carolina 9/30/2020
IA
Florida 9/30/2020
IA
Pennsylvania 9/23/2020
IA
Maryland 9/29/2020
B
South Carolina 12/1/2016
B
Massachusetts 4/12/2021
IA
South Carolina 12/2/2016
IA
Michigan 10/11/2017
IA
Texas 9/22/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 2/4/2014
B
Registered with this firm since 11/5/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 08/23/2010 - 12/09/2011 | CHARLOTTE, NC | |
IA | 06/08/2006 - 05/22/2009 | CHARLOTTE, NC | |
B | 06/30/2005 - 05/22/2009 | CHARLOTTE, NC | |
B | 06/30/2005 - 02/21/2006 | CHARLOTTE, NC | |
IA | 04/01/1997 - 05/24/2005 | KANSAS CITY, MO | |
B | 03/10/1995 - 05/24/2005 | KANSAS CITY, MO | |
B | 07/14/1994 - 02/13/1995 | MIAMI, FL | |
B | 03/19/1986 - 06/22/1993 | ||
B | 05/21/1984 - 05/22/1985 |
CHARLOTTE, NC
06/30/2005 - 05/22/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.