Stephen J. Smigel
Professional summary
Stephen Jared Smigel, who also goes by Stephen J Smigel, Stephen Jaren Smigel, is a registered financial professional 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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Jared Smigel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2021 - Present
NEWMARK SECURITIES, LLC
Office #1: 125 Park Ave 6th And 9th Floor, New York, NY, 10017March 19, 2020 - June 11, 2021
CANTOR FITZGERALD & CO.
August 19, 2013 - April 27, 2018
MUFG SECURITIES AMERICAS INC.
July 19, 2010 - August 16, 2013
NATWEST MARKETS SECURITIES INC.
October 12, 2009 - July 9, 2010
STORMHARBOUR SECURITIES LP
October 14, 1997 - February 9, 2009
CREDIT SUISSE SECURITIES (USA) 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
(3/17/2023)
(5/14/2021)
(7/15/2021)
(4/22/2021)
Exams
Series 52TO
Date: 10/24/2024
Municipal Securities Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 12/20/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 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 |
Red Flags
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