BETTY CAROL SMITH

BETTY CAROL SMITH is currently employed as a Broker and/or Investment Adviser at PFS INVESTMENTS INC. located at 6400 AKRON ST, PHILADELPHIA, PA, 19149-2923.

BETTY CAROL SMITH has worked at PFS INVESTMENTS INC. since January 12, 2005

Disclosure History

BETTY CAROL SMITH has 9 Disclosure Event(s).

Date: April 28, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $4,610.00
Judgment/Lien Type: Tax

Date: July 20, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $4,904.00
Judgment/Lien Type: Tax

Date: November 17, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $7,849.00
Judgment/Lien Type: Tax

Date: March 28, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $23,145.00
Judgment/Lien Type: Tax

Date: March 28, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $2,296.00
Judgment/Lien Type: Tax

Date: April 10, 2006
Category: Judgment / Lien
Judgment/Lien Amount: $774.00
Judgment/Lien Type: Tax
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: July 01, 1997
Category: Judgment / Lien
Judgment/Lien Amount: $1,924.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: March 03, 1994
Category: Judgment / Lien
Judgment/Lien Amount: $2,585.00
Judgment/Lien Type: Tax
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

Date: January 14, 1991
Category: Judgment / Lien
Judgment/Lien Amount: $25,000.00
Judgment/Lien Type: Civil
Broker Comment: FINRA DISCLOSURE REVIEW PROJECT

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for BETTY CAROL SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.