Individual Firm
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ROBERT MICHAEL SMITH
CRD#: 1317772
IA
B
BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDCRD#: 146936 1305 Lamar Ave
Suite C
Paris, TX 75460
Suite C
Paris, TX 75460
View By:
2/10/2010
Customer Dispute
Settled
State Registrations
B
Arkansas 9/4/2015
B
Louisiana 2/28/2017
IA
Arkansas 2/13/2023
B
Oklahoma 9/14/2015
B
California 8/3/2022
B
Texas 9/4/2015
B
Colorado 9/4/2015
IA
Texas 9/4/2015
B
Hawaii 9/18/2015
B
Wisconsin 9/4/2015
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 9/4/2015
B
Registered with this firm since 9/4/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 09/09/2015 | PARIS, TX | |
B | 01/01/2008 - 09/09/2015 | PARIS, TX | |
B | 11/23/1984 - 01/03/2008 | PARIS, TX | |
IA | 01/28/1985 - 01/01/2008 | PARIS, TX |
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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.