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Covington, LA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-08-12 |
Branch Locations
435 E Mill St., Suite 102, Plymouth, WI 53037 • United States
Covington, LA • United States
2210 Algoma Blvd., Suite A, Oshkosh, WI 54901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Veritas Financial | Plymouth | WI | 04/2009 | 08/2024 |
| Smith Securities Llc | Covington | LA | 08/2024 | Present |
Independent contractor for Reliance Accounting and Tax Services, LLC, a non investment related accounting/tax business located in Appleton, WI, operating with application as a joint venture under the business name "Veritax Alliance Group". Activity began in 2024 and represents less than 5 hours per month, some of which may be during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-27 |
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