Steven D. Smith
Professional summary
Steven David Smith is a registered financial professional currently at SGP SECURITIES, LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven David Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2024 - Present
SGP SECURITIES, LLC
Office #1: 31 Hudson Yards 11th Floor, New York, NY, 10001Office #2: 31 Hudson Yards 11th Floor, New York, NY 10001December 13, 2023 - December 21, 2024
GLC SECURITIES, LLC
January 9, 2012 - January 22, 2021
GLC SECURITIES, LLC
May 30, 2001 - October 25, 2011
UBS SECURITIES LLC
November 3, 2000 - April 30, 2001
CREDIT SUISSE SECURITIES (USA) LLC
May 25, 1994 - April 30, 2001
PERSHING LLC
February 3, 1994 - May 2, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/18/2024)
Exams
Series 99TO
Date: 9/17/2024
Operations Professional ExaminationSeries 7TO
Date: 12/1/2022
General Securities Representative ExaminationFINRA
Current Firm
SGP SECURITIES, LLC
CRD#: 328824 / SEC#: , 8-71225
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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