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Emily Smith Terminated by Raymond James

Emily Smith (CRD #: 6287728) has been terminated by Raymond James Financial Services in Vero Beach, Florida. This disclosure appears on her BrokerCheck record, accessed on August 4, 2023. Investors should keep reading for more information. 

On June 29, 2023, Raymond James fired Emily Smith following allegations that she engaged in conduct that was inconsistent with the firm’s document integrity policies. 

This is not the only employment separation disclosure on her record. On July 10, 2019, Emily Smith voluntarily resigned from MSSB following allegations that she made alterations and additions to client documents. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Any unauthorized alterations or additions to client documents would violate this rule. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 also violate FINRA Rule 2010. 

Background Information 

Emily Smith has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

She has only ever registered with Raymond James Financial Services (CRD #: 6694) and Morgan Stanley (CRD #: 149777). 

Kurta Law Can Help

If you worked with Emily Smith and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.