Alan E. Smith
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.
Alan Earl Smith, who also goes by Alan Earl Smith Jr, Alan Smith, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2000. Alan had worked at 9 firms and has passed the Series 27 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2014 - November 25, 2015
A. R. SCHMEIDLER & CO., INC.
July 1, 2011 - January 10, 2014
J. STREICHER & CO. L.L.C.
December 1, 2010 - March 1, 2011
FIS BROKERAGE & SECURITIES SERVICES LLC
July 2, 2010 - August 16, 2010
TAP SECURITIES LLC
April 17, 2009 - July 14, 2009
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
January 1, 2009 - July 14, 2009
STANCHART SECURITIES INTERNATIONAL, INC.
May 24, 2007 - December 3, 2007
CAPFI PARTNERS LLC
July 18, 2006 - March 5, 2007
ACHILLES SECURITIES, LLC
October 1, 2000 - November 21, 2001
SIG SPECIALISTS, INC.
Primary Firm SEC Registration
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
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 14A
Date: 9/25/1994
Compliance Official Specialist ExamCurrent Firm
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
Contact information
SEC notice filing (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTEMIS US IV LLC | OWNER | |
| BURKE, STEPHEN ROBERT | DIRECTOR\PRESIDENT AND MANAGING DIRECTOR | 1054623 |
| KANDEL, PETER GEORGE JR | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER - BROKER-DEALER | 1003506 |
| LAWLESS, SEAN DAVID | DIRECTOR | 5974211 |
| MARCUS, ILANA RUTH | CHIEF COMPLIANCE OFFICER, REGISTERED INVESTMENT ADVISER | 1743010 |
| MARKEL, GREGORY SCOTT | DIRECTOR, CHIEF INVESTMENT OFFICER AND MANAGING DIRECTOR | 1559421 |
| MAUNDER, TREVOR WILLIAM | DIRECTOR | 5762876 |
| SCHAENEN, MICHAEL | DIRECTOR | 412381 |
| SCHMEIDLER, ANDREW JOHN | DIRECTOR, VICE CHAIRMAN OF THE COMPANY AND MANAGING DIRECTOR | 2287823 |
| SCHMEIDLER, ARNOLD ROGER | CHAIRMAN OF THE COMPANY, FOUNDER AND MANAGING DIRECTOR | 413821 |
| SWARTZMAN, GAVIN | DIRECTOR | 6473848 |
Regulatory assets under management
| Total Number of Accounts | 897 |
| AUM (Assets Under Management) | $ 1,778,346,372 |
Disclosures
| Regulatory Event | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2025 | ||
| 09/19/2024 | ||
| 08/22/2023 | ||
| 11/25/2022 |
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.
