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Curtis Howard Smiley

Great Point Capital LLC

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About Curtis Howard Smiley

Curtis Smiley is a financial advisor with over 15 years of experience in the industry. Curtis has held a variety of roles in the financial services industry, including positions at Gunnallen Financial, Inc., Independent Financial Group, LLC, and Steven L. Falk & Associates Inc. Curtis has a strong track record of providing financial advice to individuals and families. Curtis is currently registered with Great Point Capital LLC, a financial advisory firm with offices in Chicago, IL. Curtis holds FINRA Series 7 and Series 63 licenses as well as the SIE exam.

Firm Information

Curtis Smiley is currently registered with Great Point Capital LLC. Great Point Capital LLC is a Limited Liability Company that was formed on August 17, 2000. The firm is registered to do business in all 50 states, as well as the District of Columbia. They have one SEC registration and have been the subject of 11 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Curtis Smiley’s Registration & Firm History

IL

10/27/2021 - Present

Great Point Capital LLC (CHICAGO IL)

CA

05/11/2021 - 08/09/2021

TCFG WEALTH MANAGEMENT, LLC (LAGUNA NIGUEL CA)

NY

12/03/2012 - 04/29/2020

PRIMEX (NEW YORK NY)

SC

10/31/2011 - 08/02/2012

SANDLAPPER SECURITIES, LLC (GREENVILLE SC)

FL

02/16/2011 - 06/13/2011

MCL FINANCIAL GROUP, INC. (TAMPA FL)

NV

02/09/2008 - 02/13/2009

STEVEN L. FALK & ASSOCIATES INC. (LAS VEGAS NV)

FL

02/01/2005 - 02/06/2008

INDEPENDENT FINANCIAL GROUP, LLC (TAMPA FL)

FL

07/20/2004 - 02/04/2005

GUNNALLEN FINANCIAL, INC (TAMPA FL)

FL

12/04/2001 - 07/25/2002

GUNNALLEN FINANCIAL, INC (TAMPA FL)

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Licenses & Designations

BC

Issued 04/22/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

Disclosures

There are 4 public disclosures for Curtis Howard Smiley. Review regulatory record here.
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