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MATTHEW DAVID SMITH
MATT SMITH, MATTHEW D SMITH, MATTHEW SMITH
CRD#: 5415650
IA
B
BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLCCRD#: 297750 3316 Walhalla Highway
Six Mile, SC 29682
Six Mile, SC 29682
BENJAMIN F. EDWARDS & COMPANY, INC.CRD#: 146936 3316 Walhalla Highway
Six Mile, SC 29682
Six Mile, SC 29682
0
Disclosures
16
Years of Experience
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State Registrations
B
Georgia 7/12/2018
B
North Carolina 5/14/2020
B
Missouri 8/27/2020
B
South Carolina 7/12/2018
B
Nebraska 10/26/2018
IA
South Carolina 7/12/2018
B
New York 10/2/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/26/2022
IA
Registered with this firm since 7/12/2018
B
Registered with this firm since 7/12/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/09/2013 - 07/13/2018 | SENECA, SC | |
B | 05/25/2010 - 07/13/2018 | SENECA, SC | |
B | 10/24/2007 - 09/01/2009 | SENECA, SC |
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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.