President/treasurer/chief Compliance Officer · Sycamore Financial Group
Craig Allen Smith
CRD 810191 · Named on Form ADV at one SEC-registered adviser
At a glance
Sycamore Financial Group, an SEC-registered broker-dealer firm based in Kokomo, IN with $787 million in regulatory assets, lists Craig Allen Smith on its Form ADV as President/treasurer/chief Compliance Officer, a control person.
Firms and roles
- Sycamore Financial GroupPresident/treasurer/chief Compliance OfficerBroker-dealer firm · Kokomo, IN · $787M in regulatory assets
AtlasMembers
Craig’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1998 (27 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Craig’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Alec F SmithNon-Registered Owner, Sycamore Financial Group
- Anita Lynn FaulknerVice President/secretary, Sycamore Financial Group
- Phillip F SmithNon-Registered Owner, Sycamore Financial Group
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Craig’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.