Darius C. Smith

COMMERZ MARKETS LLC

NEW YORK, NY 10281

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CRD#: 2614472

Professional summary

Darius Christian Smith, who also goes by Chris Smith, is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.

Darius is registered as a RR (Registered Representative) and started their career in finance in 1995. Darius has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darius Christian 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

May 17, 2017 - Present

COMMERZ MARKETS LLC

Office #1: 225 Liberty Street, New York, NY 10281

CRD#: 41957

NEW YORK, NY

Past

April 10, 2015 - May 19, 2017

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 26, 2004 - March 25, 2014

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 12, 1995 - September 13, 1995

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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

New York
(5/17/2017)

Exams

State Security Law Exam

Series 63

Date: 6/25/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/8/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/25/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

COMMERZ MARKETS LLC

COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK

CRD#: 41957 / SEC#: , 8-49647

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

225 Liberty Street, New York, NY 10281

Mailing Address

225 Liberty Street, New York, NY 10281

Phone number

(212) 266-7200

Established

Delaware since 05/28/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
COMMERZBANK AG	SHAREHOLDER
BARBELLA, JOSEPH	CHIEF COMPLIANCE OFFICER	5058379
DEFREN, JOHN CHARLES	CHIEF LEGAL OFFICER	5917742
GEREMIA, JOHN MICHAEL	PRESIDENT/MEMBER BOARD OF MANAGERS	1794769
HOLSTEN, ANDREAS FRITZ BRUNO	MEMBER BOARD OF MANAGERS
HUBLEY, YOKO	CFO/FINOP	4297053
LI, SU-CHANG	PRINCIPAL OPERATIONS OFFICER/FINOP	4990155
LLOYD, KEITH ROSWELL	MEMBER BOARD OF MANAGERS	2836268
ROYAN, LEE-ANN	CHIEF OPERATING OFFICER	4860551
SOENNECKEN SCHMIDT, SILKE	MEMBER BOARD OF MANAGERS
TONER, JOSEPH GREGORY	TREASURER	4910635

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Darius C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darius Christian Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CREDIT SUISSE SECURITIES (USA) LLC

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/2004

SIE

Date: 10/1/2018

Series 3

Date: 4/8/2009

Series 7

Date: 3/25/2004

FINRA

Current Firm

COMMERZ MARKETS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COMMERZ MARKETS LLC

TRUST BUT VERIFY

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