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LS

Lauren A. Smith

SGMA CAPITAL MARKETS LIMITED
New York, NY 10017
Some features on this profile are disabled
CRD#: 1909862
LS

Professional summary

Lauren Ann Smith is a registered financial professional currently at SGMA CAPITAL MARKETS LIMITED located in New York, New York.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 1989. Lauren has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 87, Series 86, Series 16, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Lauren Ann 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

June 9, 2018 - Present

SGMA CAPITAL MARKETS LIMITED

Office #1: 757 Third Avenue 21st Floor, New York, NY 10017Office #2: 757 Third Avenue 21st Floor, New York, NY 10017
BD
CRD#: 135327
New York, NY
Past

December 23, 2016 - March 1, 2018

HCFP/CAPITAL MARKETS LLC

BD
CRD#: 149111
NEW YORK, NY
Past

August 2, 2016 - March 1, 2018

SWARTWOOD, HESSE INC.

BD
CRD#: 8603
New York, NY
Past

June 21, 2013 - July 6, 2016

WEILD & CO.

BD
CRD#: 132398
NEW YORK, NY
Past

April 4, 2000 - January 9, 2013

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

July 7, 1998 - March 21, 2000

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

April 30, 1997 - May 8, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 11, 1995 - March 25, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 8, 1991 - May 19, 1994

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

March 21, 1989 - May 24, 1991

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(1/29/2020)
RR
Connecticut
(3/28/2019)
RR
Florida
(6/24/2019)
RR
Illinois
(6/17/2019)
RR
Massachusetts
(1/12/2021)
RR
New York
(6/9/2018)
RR
Texas
(7/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/13/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 2/24/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/1/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 16
Date: 5/8/2001
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SGMA CAPITAL MARKETS LIMITED
NIAGARA INTERNATIONAL CAPITAL LIMITED | SGMA CAPITAL MARKETS LIMITED | SGMA CAPITAL MARKETS

CRD#: 135327 / SEC#: , 8-66911

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

Main Address
757 Third Avenue 21st Floor, Clarence, NY 14031
Mailing Address
757 Third Avenue 21st Floor, New York, NY 10017
Phone number
(646) 681-6349
Established
New York since 12/20/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ROSSENDALE GROUP, INC.OWNER
LEGAYE, DANIEL EUGENE SRFINOP/CFO1055035
SHEUMACK, NICHOLAS JCHIEF EXECUTIVE OFFICER4378798
SMITH, LAUREN ANNCHIEF COMPLIANCE OFFICER1909862

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.

Company Information

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327New York, NY 10017

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