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BS

Burke Q. Smith

HOULIHAN LOKEY CAPITAL
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 2773434
BS

Professional summary

Burke Quentin Smith is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Burke is registered as a RR (Registered Representative) and started their career in finance in 1996. Burke has worked at 7 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Burke Quentin 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

October 3, 2022 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167
BD
CRD#: 17708
NEW YORK, NY
Past

May 15, 2018 - September 12, 2022

CAPSTONE PARTNERS

BD
CRD#: 132185
Denver, CO
Past

December 9, 2014 - November 14, 2018

HEADWATERS BD, LLC

BD
CRD#: 117042
DENVER, CO
Past

June 15, 2004 - December 6, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 22, 2001 - August 8, 2003

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

December 18, 2000 - March 5, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 20, 1998 - December 18, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 20, 1996 - March 9, 1998

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
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
Colorado
(10/4/2022)
RR
New York
(4/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/9/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HOULIHAN LOKEY CAPITAL, INC.
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067
Phone number
(310) 553-8871
Established
California since 01/09/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLCDIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPHPRESIDENT/CEO AND DIRECTOR (HLI)2147111
ALLEY, JAMES LINDSEYTREASURER/CHIEF FINANCIAL OFFICER (HLI)2394515
BEISER, SCOTT LEEVICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)2026185
BEN-CANAAN, MARC AVICCO/AMLCO4885345
CRAIN, CHRISTOPHER MADISONSECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER, FINOP4632869
YAMARONE, CHARLES ANTHONY IIICHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI2190400

Disclosures

Regulatory Event2

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.

Company Information

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708New York, NY 10167

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