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Eugene Gray Smith

Oppenheimer & Co. Inc.

Winston-Salem, NC

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-07
NC RA APPROVED 2014-12-15
  • TX RA
    APPROVED_RES
    Since 2016-07-07
  • NC RA
    APPROVED
    Since 2014-12-15

Branch Locations

380 Knollwood Street Suite 300, Winston-Salem, NC 27103 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co Winston-Salem NC 11/2014 Present
  • 11/2014 → Present
    Oppenheimer & Co
    Winston-Salem, NC
Previous Registrations
Other Businesses

1. Trustee for my 2 daughters for accounts held at Oppenheimer. Spend 1 hour per month. 2. NC TENNIS FOUNDATION BOARD MEMBER - NOT INVESTMENT RELATED - 2709 HENRY ST, GREENSBORO,NC 27405 - FOUNDATION SUPPORTS NUMEROUS TENNIS PROGRAMS IN THE STATE - 6/13/2018 - LESS THAN 10 HRS/YR

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-22
S63 Uniform Securities Agent State Law Examination 1979-10-08
  • S65 Uniform Investment Adviser Law Examination
    1993-06-22
  • S63 Uniform Securities Agent State Law Examination
    1979-10-08
Other Names
  • Eugene Gray Smith
  • Eugene Gray Smith

View on SEC IAPD

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Other Offices

SALEM INVESTMENT COUNSELORS INC · WINSTON SALEM, NC
JT STRATFORD, LLC · WINSTON-SALEM, NC
DARDA FINANCIAL · WINSTON-SALEM, NC
FIRST CITIZENS INVESTOR SERVICES, INC. · WINSTON-SALEM, NC
CETERA INVESTMENT ADVISERS LLC · WINSTON-SALEM, NC
PRINCIPAL SECURITIES, INC. · WINSTON SALEM, NC
PARK AVENUE SECURITIES LLC · WINSTON-SALEM, NC
VIRTUE CAPITAL MANAGEMENT, LLC · WINSTON-SALEM, NC

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