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TS

Timothy E. Smith

LUCID CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2090530
TS

Professional summary

Timothy Edward Smith, who also goes by Tim Smith, is a registered financial professional currently at LUCID CAPITAL MARKETS, 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim 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 Timothy Edward Smith's CRS (Customer Relationship Summary).
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

May 3, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th And 41st Floors, New York, NY 10022
BD
CRD#: 140345
New York, NY
Past

September 24, 2009 - May 2, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
New York, NY
Past

July 7, 2005 - October 14, 2009

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

December 18, 2004 - July 1, 2005

MDB CAPITAL

BD
CRD#: 42677
ADDISON, TX
Past

November 29, 2002 - September 22, 2004

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

November 29, 2002 - September 22, 2004

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA
Past

January 21, 1997 - July 1, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

June 13, 1995 - October 9, 1996

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

April 26, 1993 - June 19, 1995

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, NY
Past

November 18, 1991 - April 30, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 1, 1991 - December 23, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 19, 1990 - December 21, 1990

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
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
Arizona
(5/29/2024)
RR
California
(5/3/2024)
RR
Colorado
(5/3/2024)
RR
Connecticut
(5/3/2024)
RR
Florida
(5/3/2024)
RR
Illinois
(5/3/2024)
RR
Maryland
(5/6/2024)
RR
Massachusetts
(5/6/2024)
RR
New Jersey
(5/3/2024)
RR
North Carolina
(5/3/2024)
RR
Ohio
(5/3/2024)
RR
Pennsylvania
(5/6/2024)
RR
Texas
(5/3/2024)
RR
Vermont
(5/24/2024)
RR
Virginia
(5/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/21/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/31/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/1990
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

LC
LUCID CAPITAL MARKETS, LLC
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.

CRD#: 140345 / SEC#: , 8-67305

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 306-2700
Established
New York since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GI4 HOLDINGS, LLCSOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL1616912
SHAPIRO, ANDREW JAYCHIEF COMPLIANCE OFFICER1104658
TANIOS, FADYCEO4213894
YANNOTTI, ALEXANDER ANTHONYFINANCIAL OPERATIONS PRINCIPAL1333893

Disclosures

Regulatory Event1

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

LUCID CAPITAL MARKETS, LLC

CRD#: 140345New York, NY 10022

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