Harry Gerald Smith
Professional Summary
Harry Gerald Smith, who also goes by Harry G Smith, Harry George Smith, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Harry G Smith, Harry George Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BANCROFT CAPITAL, LLC
Contact Information
Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034Phone Number
(484) 686-0346Established
Pennsylvania since 07/04/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
4FINRA licenses (35 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/7/2019)
(3/7/2019)
(3/7/2019)
(3/7/2019)
(3/7/2019)
(10/30/2019)
(1/2/2021)
(3/7/2019)
(3/7/2019)
(1/18/2019)
(7/24/2020)
(3/7/2019)
(1/18/2019)
(3/7/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 72 — Government Securities Representative Examination
Passed Jan 2023SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Harry Gerald Smith's CRS (Customer Relationship Summary).
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