Brenda S. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brenda Sue Smith, who also goes by Brenda Abeles, Brenda Sue Rosenberg, Brenda Smithabeles, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1982. Brenda had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2020 - November 1, 2025
PICKWICK CAPITAL PARTNERS, LLC
June 3, 2019 - March 31, 2020
GROWTH CAPITAL SERVICES, INC.
August 31, 2015 - May 11, 2017
ALLIANCEBERNSTEIN L.P.
August 8, 2015 - May 11, 2017
SANFORD C. BERNSTEIN & CO., LLC
April 3, 1998 - December 14, 1999
WALNUT STREET SECURITIES, INC.
September 29, 1995 - April 2, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 1995 - June 1, 1995
PNC BROKERAGE CORP
March 25, 1982 - September 2, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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