Timothy Edward Smith
Professional Summary
Timothy Edward Smith, who also goes by Tim Smith, is a registered financial advisor currently at AMERX LLC located in New York, New York. Timothy is registered as a RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Timothy Edward Smith, Tim Smith
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Years of Experience
36 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX LLC | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.
Contact Information
Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038Phone Number
(212) 306-2700Established
New York since 06/15/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
(5/29/2024)
(5/3/2024)
(5/3/2024)
(5/3/2024)
(5/3/2024)
(5/3/2024)
(5/6/2024)
(5/6/2024)
(5/3/2024)
(5/3/2024)
(5/3/2024)
(5/6/2024)
(5/3/2024)
(5/24/2024)
(5/13/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 1999Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1990About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - BD
Click below to view Timothy Edward Smith's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED