KARL CANTY SMITH is currently employed as a Broker and/or Investment Adviser at ALPS DISTRIBUTORS, INC. located at 3735 CHEROKEE STREET, KENNESAW, GA, 30144.
KARL CANTY SMITH has worked at ALPS DISTRIBUTORS, INC. since January 10, 2012
Disclosure History
KARL CANTY SMITH has 1 Disclosure Event(s).
Date: November 22, 2001 Category: Criminal Charges: FALSE IDENTIFICATION Disposition: Dismissed Broker Comment: THE BASIS FOR THE FALSE IDENTIFICATION CHARGE WAS THAT MR. SMITH HAD IN HIS POSSESSION A NOVELTY IDENTIFICATION CARD SHOWING MR. SMITH TO BE OVER THE AGE OF 21, WHILE HE WAS ACTUALLY 18 AT THE TIME. HOWEVER, AT NO TIME DID MR. SMITH ATTEMPT TO DISPLAY THE NOVELTY IDENTIFICATION CARD, ATTEMPT TO MISLEAD THE AUTHORITIES AS TO HIS CORRECT IDENTITY, MAKE ANY FALSE OR FRAUDULENT STATEMENTS RELATED TO HIS IDENTITY OR THE IDENTIFICATION CARD, NOR DID MR. SMITH CONSPIRE TO DO ANY OF THE ABOVE. MR. SMITH VOLUNTARILY SURRENDERED THE NOVELTY IDENTIFICATION CARD AT THE TIME OF THE INCIDENT. MR. SMITH DID NOT ACTIVELY ENGAGE IN ANY FRAUD, ANY FALSE STATEMENTS, OR ANY OTHER OFFENSE AS CONTEMPLATED BY PARAGRAPH 14B. ADDITIONALLY, SIMPLY HAVING THE NOVELTY IDENTIFICATION CARD IN HIS POSSESSION, WITHOUT DISPLAYING THE IDENTIFICATION CARD OR REPRESENTING THE CARD AS HIS FOR IDENTIFICATION PURPOSES, DOES NOT VIOLATE THE GEORGIA STATUTE UNDER WHICH MR. SMITH WAS ORIGINALLY CITED BY THE AUTHORITIES. FINALLY, THIS CHARGE, WAS ULTIMATELY DROPPED.
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 KARL CANTY SMITH, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.