Public Disclosure Program

DATE LAST REVISED: March 23, 2016

SMTX, LLC is required to provide to you information regarding the Public Disclosure Program operated by the Financial Industry Regulatory Authority (FINRA) for investors.

 

Created in 1988, the Public Disclosure Program allows you, the investor, to learn about the professional background, business practices, and conduct of FINRA member firms and their brokers. To request disclosable information under this program, visit the FINRA Regulation Web site or call the BrokerCheck Hotline Number at +1 800 289-9999, a toll-free hotline operated by FINRA.

 

FINRA’s Public Disclosure Program Brochure for investors, which includes a description of BrokerCheck, is available here.