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
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.
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