Curtis Smith Terminated by United Planners’ Financial Services of America, A Limited Partner

Curtis Smith (CRD #: 1383235) has been fired by United Planners’ Financial Services of America, A Limited Partner. This disclosure appears on his BrokerCheck record, accessed on September 13, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On August 1, 2024, United Planners’ Financial Services of America, A Limited Partner fired Curtis Smith following allegations that he admitted to calling an insurance company and impersonating a client to get information on a contract for which he was not the agent of record. He allegedly also used an unapproved email address for securities business. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Impersonating a client violates this rule. 

FINRA 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. For this reason, individuals are not allowed to unapproved devices and contact information to communicate with clients. 

Background Information 

Curtis Smith has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 65 Uniform Investment Adviser Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 
• Series 26 Investment Company Products/Variable Contracts Principal Examination 

During his 38 years of experience, he registered with four firms: 

• United Planners’ Financial Services of America, A Limited Partner (CRD #: 20804) 
• Kovack Securities (CRD #: 44848) 
• SCF Securities (CRD #: 47275) 
• Pruco Securities (CRD #: 5685) 

 Kurta Law Can Help 

If you worked with Curtis Smith and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.