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Harry G. Smith

BANCROFT CAPITAL
Uniondale, NY 11556
Some features on this profile are disabled
CRD#: 1097780
HS

Professional summary

Harry Gerald Smith, who also goes by Harry G Smith, Harry George Smith, is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Uniondale, New York.

Harry is registered as a RR (Registered Representative) and started their career in finance in 1986. Harry has worked at 6 firms and has passed the Series 63, Series 79TO, Series 72, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harry G Smith | Harry George Smith

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 Harry Gerald Smith's CRS (Customer Relationship Summary).
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

January 18, 2019 - Present

BANCROFT CAPITAL, LLC

Office #1: 626 Rxr Plaza 6th Floor, West Tower, Uniondale, NY 11556
RIA
BD
CRD#: 290665
Uniondale, NY
Past

March 7, 2012 - November 1, 2018

DREXEL HAMILTON, LLC

BD
CRD#: 143570
NEW YORK, NY
Past

September 30, 1993 - January 3, 2012

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 14, 1993 - September 30, 1993

DEUTSCHE BANK CAPITAL CORPORATION

BD
CRD#: 5323
NEW YORK, NY
Past

March 26, 1990 - September 30, 1993

DEUTSCHE BANK GOVERNMENT SECURITIES, INC

BD
CRD#: 23179
Past

May 20, 1986 - March 29, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

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
Arizona
(10/7/2019)
RR
California
(3/7/2019)
RR
Connecticut
(3/7/2019)
RR
Georgia
(3/7/2019)
RR
Illinois
(3/7/2019)
RR
Michigan
(10/30/2019)
RR
Missouri
(1/2/2021)
RR
New Jersey
(3/7/2019)
RR
New Mexico
(3/7/2019)
RR
New York
(1/18/2019)
RR
North Carolina
(7/24/2020)
RR
Ohio
(3/7/2019)
RR
Pennsylvania
(1/18/2019)
RR
Texas
(3/7/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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

BANCROFT CAPITAL, LLC

CRD#: 290665Uniondale, NY 11556

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