Scott 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.
Scott Evan Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 6 firms and has passed the Series 63, Series 56, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2014 - July 30, 2014
QUAD CAPITAL, LLC
January 13, 2004 - August 5, 2004
BTIG, LLC
September 30, 2003 - January 12, 2004
LABRANCHE FINANCIAL SERVICES, LLC
July 17, 1995 - May 14, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 22, 1993 - June 27, 1995
DEUTSCHE IXE, LLC
July 20, 1993 - December 17, 1993
PRUDENTIAL EQUITY GROUP, LLC
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 56
Date: 4/16/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 12/24/2003
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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