Michael J. Smith
Professional summary
Michael Joseph Smith III, who also goes by Michael Joseph Smith, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Joseph Smith III's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 23, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022Office #2: 6 Thorndal Circle Floor 2, Darien, CT 06820February 3, 2012 - November 15, 2023
TRUIST SECURITIES, INC.
October 28, 2011 - December 5, 2011
MF GLOBAL INC.
July 1, 2003 - May 23, 2008
WELLS FARGO SECURITIES, LLC
July 26, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 28, 2000 - February 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1997 - April 25, 2000
ROBERTSON STEPHENS, INC.
December 23, 1993 - February 24, 1997
UBS FINANCIAL SERVICES INC.
May 27, 1993 - October 14, 1993
FIRST INVESTORS MANAGEMENT COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/24/2024)
(11/4/2024)
(7/25/2025)
(9/23/2024)
Exams
Series 55
Date: 12/2/2002
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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