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George Wallace Smith
GEORGE WALLACE SMITH 3RD, GEORGE WALLACE SMITH, Wally Smith
CRD#: 4844156
IA
B
AE WEALTH MANAGEMENT, LLCCRD#: 282580 8310 S Valley Hwy
Suite 480
Englewood, CO 80112
Suite 480
Englewood, CO 80112
EMERSON EQUITY LLCCRD#: 130032 8310 S Valley Hwy
Suite 480
Englewood, CO 80112
Suite 480
Englewood, CO 80112
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10/2/2008
Regulatory
Final
3/28/2008
Employment Separation After Allegations
State Registrations
B
Arizona 7/13/2020
B
New Hampshire 9/7/2021
B
Arkansas 7/21/2022
B
New Jersey 2/15/2023
B
California 7/14/2020
B
New Mexico 9/30/2021
IA
Colorado 2/4/2020
B
New York 6/29/2021
B
Colorado 7/10/2020
B
Ohio 3/23/2022
B
Connecticut 3/30/2022
B
Oklahoma 9/14/2021
B
Florida 7/13/2020
B
Oregon 12/23/2021
B
Georgia 8/15/2022
B
Pennsylvania 3/16/2021
B
Idaho 2/16/2022
B
South Carolina 7/17/2020
B
Illinois 7/30/2021
B
South Dakota 4/8/2024
B
Iowa 1/5/2023
B
Tennessee 10/5/2021
B
Louisiana 10/25/2021
B
Texas 7/28/2021
B
Maine 12/2/2022
IA
Texas 10/21/2024
B
Maryland 4/26/2021
B
Utah 5/1/2023
B
Massachusetts 7/26/2023
B
Vermont 1/8/2025
B
Michigan 5/27/2021
B
Virginia 10/12/2021
B
Minnesota 7/20/2023
B
Washington 2/16/2021
B
Nebraska 1/4/2021
B
Wyoming 11/7/2022
B
Nevada 10/28/2020
SRO Registrations
B
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IA
Registered with this firm since 2/4/2020
B
Registered with this firm since 7/1/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/01/2009 - 04/21/2022 | GREENWOOD VILLAGE, CO | |
B | 12/23/2019 - 07/09/2020 | Greenwood Village, CO | |
B | 10/17/2019 - 12/20/2019 | CENTENNIAL, CO | |
IA | 03/28/2005 - 03/28/2008 | DENVER, CO | |
IA | 09/27/2004 - 02/07/2005 | HIGHLANDS RANCH, CO |
HIGHLANDS RANCH, CO
09/27/2004 - 02/07/2005
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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.
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