Stephen C. Smith
Professional summary
Stephen Corcoran Smith is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Corcoran Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2002 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Avenue 22nd Floor, New York, NY, 10017Office #2: 222 Clematis St Suite 200, West Palm Beach, FL 33401March 20, 2001 - April 4, 2002
IPO.COM SECURITIES, INC.
December 8, 1999 - March 20, 2001
SAZES SECURITIES LLC
January 4, 1999 - December 8, 1999
U.S. BANCORP INVESTMENTS, INC.
June 6, 1991 - January 4, 1999
LIBRA INVESTMENTS, INC.
March 20, 1989 - May 21, 1991
JEFFERIES LLC
October 20, 1988 - April 22, 1989
S.N. PHELPS & CO.
March 22, 1984 - September 22, 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
(7/2/2009)
(5/5/2011)
(5/7/2002)
(7/2/2009)
(4/16/2002)
(4/15/2002)
(4/17/2002)
(4/18/2002)
(7/2/2009)
(4/17/2002)
(5/24/2002)
(5/5/2011)
(4/5/2002)
(5/30/2002)
(4/25/2002)
(4/22/2002)
(5/6/2002)
(4/5/2002)
(7/2/2009)
(4/26/2002)
(7/2/2009)
(4/10/2002)
(4/16/2002)
(4/5/2002)
(5/1/2002)
(7/2/2009)
(7/16/2002)
(7/2/2009)
(4/5/2002)
(7/2/2009)
(5/28/2002)
(7/2/2009)
(1/11/2002)
(4/26/2002)
(7/2/2009)
(4/15/2002)
(4/5/2002)
(7/2/2009)
(4/5/2002)
(7/2/2009)
(7/2/2009)
(4/5/2002)
(12/5/2006)
(4/24/2002)
(4/5/2002)
(7/2/2009)
(4/5/2002)
(4/5/2002)
(7/2/2009)
(7/2/2009)
(5/1/2002)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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