Stanley Smith, financial advisor Boca Raton FL
63 score

Stanley Smith

CRD Number: 1180473
Current Firm: Summit Financial Group Inc.

Stanley Smith (CRD# 1180473) is an Investment Advisor Representative working at Summit Financial Group Inc. in Boca Raton, FL and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Summit Brokerage Services Inc. Boca Raton , FL Feb 2003 - Current 13
Summit Financial Group Inc. Boca Raton, FL Feb 2003 - Current 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1986
S65 NASAA Investment Advisors Law Examination Dec 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Stanley J. Smith
Phone Number: 561-338-2600
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    1,671
    MILLIONS
  • Total Number of Accounts
    8,086
    ACCOUNTS
  • Average Account Value
    $206,638
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV

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BADGES
63

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