OS
Orit H. Small
PREFERRED CAPITAL SECURITIES
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 2786459
OS
Professional summary
Orit Heather Small, CFP®, who also goes by Orit H Small, is a registered financial professional currently at PREFERRED CAPITAL SECURITIES, LLC located in Atlanta, Georgia.
Orit is registered as a RR (Registered Representative) and started their career in finance in 1997. Orit has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Orit H Small
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.
Chief Compliance Officer of Badger Creek Advisors, LLC # Hrs/Mo: 0-10 Description: Provides Advisory Services to issuers. Sub Entities have ownership over management companies (BCA-WHE, BCA-Exchange)
CRS (Client Relationship Summary) - BD
Click below to view Orit Heather Small'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®
Experience
Current
September 23, 2016 - Present
PREFERRED CAPITAL SECURITIES, LLC
Office #1: 3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327Office #2: 3290 Northside Parkway Nw Suite 800, Atlanta, GA 30327BD
CRD#: 169719
Atlanta, GA
Past
June 9, 2023 - February 16, 2024
BADGER CREEK ADVISORS, LLC
RIA
CRD#: 319582
ATLANTA, GA
Past
July 1, 1999 - September 14, 2016
OSAIC WEALTH, INC.
BD
CRD#: 23131
SILVER SPRING, MD
Past
October 23, 1997 - July 2, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
April 10, 1997 - September 23, 1997
SANFORD C. BERNSTEIN & CO., INC.
BD
CRD#: 1232
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(9/23/2016)
RR
Alaska(9/23/2016)
RR
Arizona(9/23/2016)
RR
Arkansas(9/23/2016)
RR
California(9/23/2016)
RR
Colorado(9/23/2016)
RR
Connecticut(9/23/2016)
RR
Delaware(9/23/2016)
RR
District of Columbia(9/23/2016)
RR
Florida(9/23/2016)
RR
Georgia(9/23/2016)
RR
Hawaii(9/23/2016)
RR
Idaho(9/23/2016)
RR
Illinois(9/23/2016)
RR
Indiana(9/23/2016)
RR
Iowa(9/23/2016)
RR
Kansas(9/23/2016)
RR
Kentucky(9/23/2016)
RR
Louisiana(9/23/2016)
RR
Maine(9/23/2016)
RR
Maryland(9/23/2016)
RR
Massachusetts(9/23/2016)
RR
Michigan(9/23/2016)
RR
Minnesota(9/23/2016)
RR
Mississippi(9/23/2016)
RR
Missouri(9/23/2016)
RR
Montana(9/23/2016)
RR
Nebraska(9/23/2016)
RR
Nevada(9/23/2016)
RR
New Hampshire(9/23/2016)
RR
New Jersey(9/23/2016)
RR
New Mexico(9/23/2016)
RR
New York(9/23/2016)
RR
North Carolina(9/23/2016)
RR
North Dakota(9/23/2016)
RR
Ohio(9/23/2016)
RR
Oklahoma(9/23/2016)
RR
Oregon(9/23/2016)
RR
Pennsylvania(9/23/2016)
RR
Puerto Rico(9/23/2016)
RR
Rhode Island(9/23/2016)
RR
South Carolina(9/23/2016)
RR
South Dakota(9/23/2016)
RR
Tennessee(9/23/2016)
RR
Texas(9/23/2016)
RR
Utah(9/23/2016)
RR
Vermont(9/23/2016)
RR
Virgin Islands(9/23/2016)
RR
Virginia(9/23/2016)
RR
Washington(9/23/2016)
RR
West Virginia(9/23/2016)
RR
Wisconsin(9/23/2016)
RR
Wyoming(9/23/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PREFERRED CAPITAL SECURITIES, LLC
PREFERRED CAPITAL SECURITIES, LLC
CRD#: 169719 / SEC#: , 8-69382
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327
Mailing Address
3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327
Phone number
(855) 330-6594
Established
Georgia since 09/17/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
