SS
Simon Smith
UBS SECURITIES
New York, NY 10010
Some features on this profile are disabled
CRD#: 2472405
SS
Simon SmithUBS SECURITIES
Professional summary
Simon Smith, who also goes by Simon Garnet Smith, is a registered financial professional currently at UBS SECURITIES LLC located in New York, New York and BMO CAPITAL MARKETS CORP. located in New York, New York.
Simon is registered as a RR (Registered Representative) and started their career in finance in 1994. Simon has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Aliases
Simon Garnet Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view Simon Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 11, 2002 - Present
UBS SECURITIES LLC
Office #1: 11 Madison Avenue, New York, NY 10010BD
CRD#: 7654
New York, NY
Current
July 8, 2026 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036BD
CRD#: 16686
New York, NY
Past
January 10, 2001 - April 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 12, 1994 - December 4, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/9/2022)
RR
Alaska(6/9/2022)
RR
Arizona(5/11/2022)
RR
Arkansas(6/9/2022)
RR
California(6/9/2022)
RR
Colorado(5/3/2022)
RR
Connecticut(5/3/2022)
RR
Delaware(6/9/2022)
RR
District of Columbia(5/3/2022)
RR
Florida(5/3/2022)
RR
Georgia(6/9/2022)
RR
Hawaii(6/9/2022)
RR
Idaho(6/9/2022)
RR
Illinois(6/9/2022)
RR
Indiana(6/9/2022)
RR
Iowa(6/9/2022)
RR
Kansas(6/9/2022)
RR
Kentucky(6/9/2022)
RR
Louisiana(5/3/2022)
RR
Maine(6/9/2022)
RR
Maryland(5/3/2022)
RR
Massachusetts(6/9/2022)
RR
Michigan(6/9/2022)
RR
Minnesota(6/9/2022)
RR
Mississippi(6/9/2022)
RR
Missouri(6/9/2022)
RR
Montana(6/9/2022)
RR
Nebraska(6/9/2022)
RR
Nevada(6/9/2022)
RR
New Hampshire(6/9/2022)
RR
New Jersey(6/9/2022)
RR
New Mexico(6/9/2022)
RR
New York(5/4/2002)
RR
North Carolina(6/9/2022)
RR
North Dakota(6/9/2022)
RR
Ohio(5/3/2022)
RR
Oklahoma(6/9/2022)
RR
Oregon(6/9/2022)
RR
Pennsylvania(6/9/2022)
RR
Puerto Rico(5/3/2022)
RR
Rhode Island(6/9/2022)
RR
South Carolina(6/9/2022)
RR
South Dakota(6/9/2022)
RR
Tennessee(6/9/2022)
RR
Texas(6/9/2022)
RR
Utah(6/9/2022)
RR
Vermont(6/9/2022)
RR
Virginia(5/3/2022)
RR
Washington(6/9/2022)
RR
West Virginia(6/9/2022)
RR
Wisconsin(6/9/2022)
RR
Wyoming(6/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
SRO Registrations
RR
Texas Stock Exchange LLC
Current Firm
BC
BMO CAPITAL MARKETS CORP.
B2RICK SECURITIES | HARRIS NESBITT GERARD, INC. | HARRIS NESBITT CORP. | GERARD KLAUER MATTISON & COMPANY | GERARD KLAUER MATTISON & CO.,L.L.C. | GERARD KLAUER MATTISON & CO., L.L.C. | GERARD KLAUER MATTISON & CO., INC. | BRICK SECURITIES PARTNERS, L.P. | BRICK SECURITIES ASSOCIATES | BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...
Contact information
Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 702-1101
Established
Delaware since 03/28/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,275
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
