Christopher M. Smith

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CRD#: 1248767

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.

Christopher Michael Smith was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2022 - September 27, 2022

GENERAL WELLINGTON CAPITAL LLC

CRD#: 282139

NEW YORK, NY

Past

September 30, 2015 - January 2, 2020

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

New York, NY

Past

September 30, 2015 - January 2, 2020

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

NEW YORK, NY

Past

April 14, 2015 - October 1, 2015

CONSTELLATION WEALTH ADVISORS LLC

RIA

CRD#: 142502

NEW YORK, NY

Past

April 22, 2010 - October 1, 2015

CONSTELLATION WEALTH ADVISORS LLC

CRD#: 142502

NEW YORK, NY

Past

September 11, 2008 - December 17, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

February 1, 1996 - March 9, 2007

LABRANCHE & CO. LLC

CRD#: 32661

NEW YORK, NY

Past

October 15, 1992 - April 3, 1995

MARCUS SCHLOSS & CO., INC.

CRD#: 6032

NEW YORK, NY

Past

May 2, 1991 - September 18, 1992

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

February 18, 1989 - May 20, 1991

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

March 19, 1984 - March 6, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/9/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 12/7/1994

Financial and Operations Principal Examination

Current Firm

GENERAL WELLINGTON CAPITAL LLC

CRD#: 282139 / SEC#: , 8-69705

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

295 Madison Avenue 43rd Floor, New York, NY, 10017

Mailing Address

295 Madison Avenue 43rd Floor, New York, NY, 10017

Phone number

(212) 803-7150

Established

New York since 11/06/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MCLANE, MICHAEL COLIN	CEO, COO, MD	4461016
MEEHAN, KEVIN PATRICK	CCO, FINOP	4652695

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.

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Advisor Monitoring

Firm Stability Insights

Christopher M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

CONSTELLATION WEALTH ADVISORS LLC

CONSTELLATION WEALTH ADVISORS LLC

RBC CAPITAL MARKETS, LLC

LABRANCHE & CO. LLC

MARCUS SCHLOSS & CO., INC.

DAIN RAUSCHER INCORPORATED

OSCAR GRUSS & SON INCORPORATED

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/2009

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Series 24

Date: 1/2/2023

Series 27

Date: 12/7/1994

Current Firm

GENERAL WELLINGTON CAPITAL LLC

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GENERAL WELLINGTON CAPITAL LLC

TRUST BUT VERIFY

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