Erik S. Smith

FIRST TRYON SECURITIES

GREENPORT, NY

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CRD#: 2491776

Professional summary

Erik Samuel Smith is a registered financial professional currently at FIRST TRYON SECURITIES, LLC located in Greenport, New York.

Erik is registered as a RR (Registered Representative) and started their career in finance in 1994. Erik has worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Erik Samuel 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®

None

Experience

Current

January 13, 2025 - Present

FIRST TRYON SECURITIES, LLC

CRD#: 7336

GREENPORT, NY

Past

January 12, 2022 - December 4, 2024

ZEUS FINANCIAL, LLC

CRD#: 18192

Great Neck, NY

Past

December 1, 2015 - December 3, 2021

NATHAN HALE CAPITAL, LLC

CRD#: 123650

New York, NY

Past

January 10, 2012 - November 2, 2015

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

NEW YORK, NY

Past

May 16, 2006 - January 30, 2012

CERT DIRECT SECURITIES INC.

CRD#: 137113

NEW YORK, NY

Past

January 5, 2005 - June 23, 2005

FINANCE 500, INC.

CRD#: 12981

IRVINE, CA

Past

October 20, 2004 - October 29, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

January 2, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

July 17, 1996 - January 2, 2001

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

June 2, 1994 - October 5, 1994

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

State Registrations and Notice Filings

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

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

North Carolina
(1/13/2025)

Exams

State Security Law Exam

Series 63

Date: 6/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/17/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/10/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRYON SECURITIES, LLC

BRUNNEMER & CO. | FIRST TRYON SECURITIES, LLC | FIRST CHARLOTTE CORPORATION

CRD#: 7336 / SEC#: , 8-21426

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

6101 Carnegie Blvd #210, Charlotte, NC 28209

Mailing Address

6101 Carnegie Blvd #210, Charlotte, NC 28209

Phone number

(704) 372-6118

Established

North Carolina since 07/25/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BRUNNEMER & CO.	MEMBER
BRUNNEMER, HUBER KEITH III	MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE	2758256
BECK, ERIC JASON	CCO	4824373
BRUNNEMER, HEBER KEITH JR	MEMBER	33824
CARPENTER, MARGARET BRUNNEMER MS.	MEMBER, CHIEF FINANCIAL OFFICER, FINOP,	2042716
HOWELL, ELIZABETH WARREN	MEMBER, SENIOR VICE PRESIDENT	4791377
JOSEPH, ERIC MICHAEL	MEMBER, SENIOR VICE PRESIDENT	4001509
WARDLAW, CRAIG M JR.	MEMBER, SENIOR VICE PRESIDENT	5316503

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Erik S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Samuel Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZEUS FINANCIAL, LLC

NATHAN HALE CAPITAL, LLC

ADVISORS ASSET MANAGEMENT, INC.

CERT DIRECT SECURITIES INC.

FINANCE 500, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

APEX CLEARING CORPORATION

SOUTH RICHMOND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/16/1994

SIE

Date: 10/1/2018

Series 55

Date: 12/17/1999

Series 7

Date: 6/1/1994

Series 24

Date: 7/10/2004

FINRA

Current Firm

FIRST TRYON SECURITIES, LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST TRYON SECURITIES, LLC

TRUST BUT VERIFY

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