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ANTHONY WAYNE SMITH
ANTHONY W SMITH, TONY SMITH
CRD#: 2603841
IA
B
STATE FARM INVESTMENT MANAGEMENT CORP.CRD#: 3487 Bossier City, LA
STATE FARM VP MANAGEMENT CORP.CRD#: 43036 Bossier City, LA
0
Disclosures
29
Years of Experience
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State Registrations
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Arkansas 2/23/2013
B
Louisiana 2/7/2013
IA
Arkansas 8/13/2018
IA
Louisiana 8/13/2018
SRO Registrations
B
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IA
Registered with this firm since 8/13/2018
B
Registered with this firm since 10/1/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/06/2006 - 10/04/2007 | INDEPENDENCE, MO | |
IA | 11/03/2004 - 04/13/2005 | LITTLE ROCK, AR | |
IA | 10/11/2000 - 09/10/2002 | EL DORADO, AR | |
B | 09/27/2000 - 09/10/2002 | FORT MILL, SC | |
B | 07/16/1999 - 09/27/2000 | SAN ANTONIO, TX | |
B | 03/14/1997 - 07/27/1999 | ST. LOUIS, MO | |
B | 12/02/1996 - 03/18/1997 | LOS ANGELES, CA | |
B | 07/21/1995 - 11/05/1996 | OAKDALE, MN |
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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.