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CS

Christopher B. Smith

CAPSTONE PARTNERS
BOSTON, MA 02109
Some features on this profile are disabled
CRD#: 1071083
CS

Professional summary

Christopher Bennet Smith is a registered financial professional currently at CAPSTONE PARTNERS located in Boston, Massachusetts.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1982. Christopher has worked at 11 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Bennet Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 15, 2018 - Present

CAPSTONE PARTNERS

Office #1: 10 Post Office Square Suite 800n, Boston, MA 02109
BD
CRD#: 132185
BOSTON, MA
Past

April 20, 2015 - November 14, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

March 6, 2012 - May 4, 2015

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
NEW YORK, NY
Past

November 15, 2011 - March 5, 2012

GLC SECURITIES CORP.

BD
CRD#: 38337
NEW YORK, NY
Past

July 5, 2005 - September 26, 2011

SOURCE CAPITAL GROUP, INC.

BD
CRD#: 36719
WESTPORT, CT
Past

September 15, 2004 - November 15, 2004

ROBERT R. MEREDITH & CO., INC.

BD
CRD#: 29501
NEW YORK, NY
Past

August 30, 1996 - April 11, 1997

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 5, 1995 - July 19, 1996

BELLE HAVEN INVESTMENTS, L.P.

BD
CRD#: 29278
RYE BROOK, NY
Past

May 9, 1994 - October 25, 1994

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

April 17, 1990 - May 6, 1994

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

April 23, 1987 - April 20, 1990

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 20, 1982 - January 3, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(5/15/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/18/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/18/1985
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CAPSTONE PARTNERS
CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
10 Post Office Square Suite 800n, Boston, MA 02109
Mailing Address
10 Post Office Square Suite 800n, Boston, MA 02109
Phone number
(617) 619-3300
Established
Delaware since 04/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPSTONE CORPORATE FINANCE LLCDIRECT OWNER
BEEKMAN, TODD ANDREWDIRECTOR6291198
CASPER, MARK VERNON JR.CHIEF FINANCIAL OFFICER6682711
DAHLKE, STEPHEN MATTHEWCHIEF COMPLIANCE OFFICER2577928
FERRARA, JOHN MARIO IIPRESIDENT2097226
JANSON, PAUL EDWARDDIRECTOR4992234
KLEINMAN, SCOTT DAVIDDIRECTOR2357636
MILCETICH, MATTHEW LOUISEXECUTIVE MANAGING DIRECTOR6419334
VALDIVIA, SERENAAML OFFICER7790899

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPSTONE PARTNERS

CRD#: 132185Boston, MA 02109

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