Ian G. Smith
Professional summary
Ian George Smith is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.
Ian is registered as a RR (Registered Representative) and started their career in finance in 1999. Ian has worked at 1 firm and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ian George Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2003 - Present
ALLEN & COMPANY LLC
Office #1: 711 Fifth Avenue, New York, NY 10022Office #2: 711 Fifth Avenue, New York, NY 10022June 30, 1999 - September 25, 2000
ALLEN & COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
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