Articles Tagged with Fred Smith

Fred SmithPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that former Tennessee-based Signator Investors broker/adviser Fred Smith has been involved in several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 5654465).

Fred Smith has spent seven years in the securities industry and was most recently registered with Signator Investors in Lafayette, Tennessee (2015-2017). Previous registrations include Signator Financial Services in Lafayette, Tennessee (2010-2015); Cambridge Investment Research in Lafayette, Tennessee (2010); and Edward Jones in Red Boiling Springs, Tennessee (2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 29, 2009, and Series 7 (General Securities Representative Examination), which he obtained on May 19, 2009. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received five customer complaints.