Robert C. Smith
Professional summary
Robert Cameron Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Robert had worked at 14 firms, which includes ICV GROUP INC., SILVER LEAF PARTNERS LLC, NATIONAL SECURITIES CORPORATION, SOURCE CAPITAL GROUP INC., CHARDAN CAPITAL MARKETS LLC, RAFFERTY CAPITAL MARKETS LLC, MAGNA, BGC FINANCIAL L.P., TOUCHPOINT SECURITIES CORP., J.P. MORGAN SECURITIES LLC, FIRST NEW YORK SECURITIES L.L.C., ELECTRONIC TRADING GROUP LLC, KNIGHT CAPITAL AMERICAS L.P., DEUTSCHE IXE LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2020 - July 23, 2021
ICV GROUP, INC.
February 3, 2016 - September 6, 2018
SILVER LEAF PARTNERS, LLC
March 7, 2014 - August 28, 2015
NATIONAL SECURITIES CORPORATION
November 27, 2012 - March 7, 2014
SOURCE CAPITAL GROUP, INC.
October 25, 2010 - December 15, 2011
CHARDAN CAPITAL MARKETS LLC
May 18, 2009 - October 4, 2010
RAFFERTY CAPITAL MARKETS, LLC
April 9, 2009 - April 13, 2009
MAGNA
January 7, 2009 - March 11, 2009
BGC FINANCIAL, L.P.
April 5, 2007 - October 24, 2008
TOUCHPOINT SECURITIES CORP.
May 14, 2004 - November 2, 2005
J.P. MORGAN SECURITIES LLC
September 2, 2003 - March 15, 2004
FIRST NEW YORK SECURITIES L.L.C.
December 4, 2001 - March 28, 2002
ELECTRONIC TRADING GROUP, LLC
August 27, 2001 - November 19, 2001
FIRST NEW YORK SECURITIES L.L.C.
July 2, 1999 - July 24, 2001
KNIGHT CAPITAL AMERICAS, L.P.
September 12, 1996 - June 11, 1999
DEUTSCHE IXE, 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 ExaminationSeries 55
Date: 12/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
ICV GROUP, INC.
CRD#: 294024 / SEC#: , 8-70179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH, ROBERT CAMERON | BOARD MEMBER, CEO, CCO | 2757295 |
Disclosures
| Regulatory Event | 1 |
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