Kevin J. Smyth
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.
Kevin John Smyth was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - March 2, 2016
CANTOR FITZGERALD & CO.
January 15, 2013 - November 19, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 2, 2012 - December 13, 2012
VIRTU AMERICAS LLC
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
June 14, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
April 20, 2009 - June 11, 2010
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 2008 - April 23, 2009
J.P. MORGAN SECURITIES LLC
May 13, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 1986 - May 14, 2008
J.P. MORGAN SECURITIES LLC
August 21, 1984 - June 10, 1986
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
Exams
Series 8
Date: 10/28/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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