Stuart F. Smith

CENTERVIEW PARTNERS LLC

New York, NY 10019

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CRD#: 1312329

Professional summary

Stuart Farwell Smith, who also goes by Stuart Smith, is a registered financial professional currently at CENTERVIEW PARTNERS LLC located in New York, New York.

Stuart is registered as a RR (Registered Representative) and started their career in finance in 1984. Stuart has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stuart 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 Stuart Farwell Smith's 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

August 22, 2016 - Present

CENTERVIEW PARTNERS LLC

Office #1: 31 West 52nd Street 22nd Floor, New York, NY 10019

CRD#: 133796

New York, NY

Past

November 3, 2000 - September 19, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 2, 1999 - August 17, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 14, 1999 - July 2, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

March 1, 1989 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 21, 1984 - September 22, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

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

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

New York
(8/22/2016)

Exams

State Security Law Exam

Series 63

Date: 7/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTERVIEW PARTNERS LLC

CENTERVIEW PARTNERS LLC | PRUZAN & CO., LLC

CRD#: 133796 / SEC#: , 8-66774

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

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Contact information

Main Address

31 West 52nd Street 22nd Floor, New York, NY 10019

Mailing Address

31 West 52nd Street 22nd Floor, New York, NY 10019

Phone number

(212) 380-2650

Established

Delaware since 02/25/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CENTERVIEW PARTNERS ADVISORY HOLDINGS LLC	MANAGING MEMBER
EFFRON, BLAIR WAYNE	PARTNER	1532642
HARTMAN, ALAN PHILIP	PARTNER	2595280
KOSOWSKY, AMANDA LENORE	CHIEF COMPLIANCE OFFICER	6639399
PRUZAN, ROBERT ALAN	PARTNER	2018542
ROBINSON, MARK JASON	PARTNER	2394581
VICARI, JEANNE	FINOP & CHIEF FINANCIAL OFFICER	1975263

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

Stuart F. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stuart Farwell Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/1985

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1984

Series 24

Date: 12/3/1999

FINRA

Current Firm

CENTERVIEW PARTNERS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CENTERVIEW PARTNERS LLC

TRUST BUT VERIFY

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