Richard C. Smith

NEWEDGE SECURITIES

Dallas, TX 75251

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CRD#: 2269105

Professional summary

Richard Christopher Smith, who also goes by Chris Smith, Richard C Smith, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Dallas, Texas.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Smith | Richard C 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 Richard Christopher 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

July 24, 2017 - Present

NEWEDGE SECURITIES, LLC

Office #1: 12222 Merit Drive Suite 310, Dallas, TX 75251

CRD#: 10674

Dallas, TX

Past

April 6, 1999 - July 24, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

September 23, 1992 - May 3, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Alabama
(8/3/2021)

California
(7/24/2017)

Colorado
(7/24/2017)

Florida
(7/24/2017)

Idaho
(10/23/2024)

Kansas
(7/24/2017)

Louisiana
(3/22/2018)

Mississippi
(7/24/2017)

Missouri
(5/8/2019)

New Mexico
(6/23/2021)

North Carolina
(6/11/2019)

Ohio
(9/22/2021)

Oklahoma
(7/24/2017)

Texas
(7/24/2017)

Washington
(7/24/2017)

Exams

State Security Law Exam

Series 63

Date: 9/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/1992

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NEWEDGE SECURITIES, LLC

CRD#: 10674 / SEC#: , 8-27663

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368

Mailing Address

1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368

Phone number

(412) 391-7077

Established

Pennsylvania since 12/14/1981

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NEWEDGE CAPITAL GROUP, LLC	SHAREHOLDER
BANCO, JOSEPH FRANKLIN JR	PRINCIPAL FINANCIAL OFFICER AND CFO	2850198
CHAFFEE, HAROLD GERARD	CHIEF COMPLIANCE OFFICER	2905661
FONG, SARAH F	VICE PRESIDENT	2937709
JENKINS, WILLIAM HENRY	MANAGING DIRECTOR - SUPERVISION	3004337
SCHNIER, DAVID JASON	GENERAL COUNSEL AND SECRETARY	5110928
SESLER, JEAN ANN	PRINCIPAL OPERATIONS OFFICER	1809578
SMITH, KYLE PETER	PRESIDENT	2142563

Disclosures

Regulatory Event	9
Civil Event	2
Arbitration	3

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.

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Richard C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Christopher Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWEDGE SECURITIES, LLC

WFG INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1992

FINRA

Nasdaq Stock Market

Current Firm

NEWEDGE SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEWEDGE SECURITIES, LLC

TRUST BUT VERIFY

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