RS
Robert J. Smock
LUMENT SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2523378
RS
Professional summary
Robert James Smock, who also goes by Robert J Smock, is a registered financial professional currently at LUMENT SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert J Smock
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 Robert James Smock'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
September 26, 2024 - Present
LUMENT SECURITIES, LLC
Office #1: 280 Park Avenue 40 West, New York, NY 10017BD
CRD#: 14840
New York, NY
Past
August 29, 2019 - August 27, 2024
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
February 2, 2011 - February 24, 2020
MUFG AMERICAS CORPORATE ADVISORY, INC.
BD
CRD#: 10151
New York, NY
Past
April 15, 2010 - January 26, 2011
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
March 9, 2007 - August 24, 2009
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
April 29, 1998 - December 20, 2006
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
April 2, 1996 - April 13, 1998
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
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(9/26/2024)
RR
Alaska(9/26/2024)
RR
Arizona(9/26/2024)
RR
Arkansas(9/26/2024)
RR
California(9/26/2024)
RR
Colorado(9/26/2024)
RR
Connecticut(9/26/2024)
RR
Delaware(9/26/2024)
RR
District of Columbia(9/26/2024)
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Florida(9/26/2024)
RR
Georgia(9/26/2024)
RR
Hawaii(9/26/2024)
RR
Idaho(9/26/2024)
RR
Illinois(9/26/2024)
RR
Indiana(9/26/2024)
RR
Iowa(9/26/2024)
RR
Kansas(9/26/2024)
RR
Kentucky(9/26/2024)
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Louisiana(9/26/2024)
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Maine(9/26/2024)
RR
Maryland(9/26/2024)
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Massachusetts(9/26/2024)
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Michigan(9/26/2024)
RR
Minnesota(9/26/2024)
RR
Mississippi(9/26/2024)
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Missouri(9/26/2024)
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Montana(9/26/2024)
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Nebraska(9/26/2024)
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Nevada(9/26/2024)
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New Hampshire(9/26/2024)
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New Jersey(9/26/2024)
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New Mexico(9/26/2024)
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New York(9/26/2024)
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North Carolina(9/26/2024)
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North Dakota(9/26/2024)
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Ohio(9/26/2024)
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Oklahoma(9/26/2024)
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Oregon(9/26/2024)
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Pennsylvania(9/26/2024)
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Puerto Rico(9/26/2024)
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Rhode Island(9/26/2024)
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South Carolina(9/26/2024)
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South Dakota(9/26/2024)
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Tennessee(9/26/2024)
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Texas(9/26/2024)
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Utah(9/26/2024)
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Vermont(9/26/2024)
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Virgin Islands(9/26/2024)
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Virginia(9/26/2024)
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Washington(9/26/2024)
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West Virginia(9/26/2024)
RR
Wisconsin(9/26/2024)
RR
Wyoming(9/26/2024)
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
FINRA
Current Firm
LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
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.
