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KS

Kevin J. Smith

Some features on this profile are disabled
CRD#: 2361688
KS

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.

Kevin Joseph Smith was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1996. Kevin had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 20, 2017 - March 11, 2025

CURRENT CAPITAL SECURITIES LLC

BD
CRD#: 288891
NEW YORK, NY
Past

March 16, 2017 - January 13, 2018

BCW SECURITIES LLC

BD
CRD#: 144930
WESTPORT, CT
Past

May 21, 2010 - March 15, 2017

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

August 14, 2009 - June 7, 2010

THE SILVERFERN GROUP, INC.

BD
CRD#: 119266
GREENWICH, CT
Past

February 24, 2005 - May 20, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

June 5, 1996 - February 16, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/13/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/9/2010
General Securities Principal Examination

Current Firm

CC
CURRENT CAPITAL SECURITIES LLC
CURRENT CAPITAL SECURITIES LLC

CRD#: 288891 / SEC#: , 8-69966

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
950 Third Ave - 26th Floor, New York, NY 10022
Mailing Address
950 Third Ave - 26th Floor, New York, NY 10022
Phone number
(212) 737-3671
Established
Delaware since 04/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 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#
CURRENT CAPITAL PARTNERS LLCMEMBER
CHIN, PHYLLIS NYUK FAHFINANCIAL AND OPERATIONS PRINCIPAL6250921
FOSTER, JONATHAN FRANKCEO/ MANAGING PARTNER/ CCO1688159

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

CURRENT CAPITAL SECURITIES LLC

CRD#: 288891

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