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Advisor at SMITH SECURITIES LLC
Plymouth, WI | COVINGTON, LA | Oshkosh, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| SMITH SECURITIES LLC | State registered | Aug 12, 2024 | n/a | yes | Plymouth, WI|COVINGTON, LA|Oshkosh, WI | Current employment |
| VERITAS FINANCIAL SERVICES, LLC | State registered | Mar 31, 2011 | Sep 17, 2024 | no | OSHKOSH, WI|PLYMOUTH, WI|Oshksoh, WI|Oshkosh, WI|Oshkosh, WI | Previous registration |
| CAPITAL FINANCIAL SERVICES, INC. | Former SEC adviser | Oct 9, 2007 | Apr 21, 2009 | no | STILLWATER, OK|MOORE, OK|NEW HOLSTEIN, WI|OSHKOSH, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VERITAS FINANCIAL SERVICES, LLC | SMITH SECURITIES LLC | Sep 17, 2024 | Aug 12, 2024 | -36 | Firm change after gap | Other |
| CAPITAL FINANCIAL SERVICES, INC. | VERITAS FINANCIAL SERVICES, LLC | Apr 21, 2009 | Mar 31, 2011 | 709 | Firm change after gap | Other |