Terry L. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Terry Leshaun Smith Jr, who also goes by Terry L Smith Jr, Terry Leshawn Smith Jr, Terry Leshawn Smith, Terry Smith, Terry Leshaun Smith Jr, Terry Leshaun Smith, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 2008. Terry had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2025 - July 7, 2025
STONEX FINANCIAL INC.
July 23, 2024 - November 15, 2024
STONEX SECURITIES INC.
July 23, 2024 - November 15, 2024
STONEX FINANCIAL INC.
May 6, 2021 - September 14, 2023
MML INVESTORS SERVICES, LLC
October 5, 2011 - May 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 2011 - May 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2008 - April 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/6/2021
General Securities Representative ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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