Individual Firm
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THOMAS HAROLD SMITH
HAL SMITH
CRD#: 1370872
IA
B
BEACON POINTE ADVISORS, LLCCRD#: 119290 123 S MARENGO
SUITE 200
PASADENA, CA 91101
SUITE 200
PASADENA, CA 91101
0
Disclosures
37
Years of Experience
View By:
State Registrations
IA
California 10/21/2024
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Registered with this firm since 10/21/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2020 - 10/31/2024 | PASADENA, CA | |
IA | 03/13/2015 - 10/07/2020 | LOS ANGELES, CA | |
B | 01/13/2016 - 12/31/2016 | DIAMOND BAR, CA | |
IA | 03/23/2006 - 09/17/2013 | LOS ANGELES, CA | |
B | 02/20/2006 - 09/16/2013 | LOS ANGELES, CA | |
IA | 07/08/1997 - 02/01/2005 | CA | |
B | 11/09/1985 - 02/01/2005 | WESTLAKE, TX | |
B | 05/23/1985 - 11/01/1985 |
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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.