Stephen Jared Smigel
Professional Summary
Stephen Jared Smigel, who also goes by Stephen J Smigel, Stephen Jaren Smigel, is a registered financial advisor currently at NEWMARK SECURITIES, LLC located in New York, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 6 firms and has passed the Series 63, Series 52TO, Series 62, Series 57TO, Series 79TO, SIE, Series 55, Series 3, Series 7 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen J Smigel, Stephen Jaren Smigel
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
NEWMARK SECURITIES LLC | NEWMARK SECURITIES, LLC
Contact Information
Main Address
125 Park Avenue, New York, NY 10017Mailing Address
125 Park Avenue, New York, NY 10017Phone Number
(212) 372-2000Established
Delaware since 04/17/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | — |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
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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.
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State Registrations and Notice Filings
(3/17/2023)
(5/14/2021)
(7/15/2021)
(4/22/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Oct 2024About the Series 52TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2005SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Jared Smigel's CRS (Customer Relationship Summary).
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