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TS

Thomas E. Smith

AVANT-GARDE TRADING SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2794221
TS

Professional summary

Thomas Edward Smith JR, who also goes by Thomas E Smith, Thomas Edwards Smith Jr, is a registered financial professional currently at AVANT-GARDE TRADING SECURITIES located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas E Smith | Thomas Edwards Smith Jr

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 Thomas Edward Smith JR's CRS (Customer Relationship Summary).
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

September 25, 2018 - Present

AVANT-GARDE TRADING SECURITIES

Office #1: 230 W Monroe Ste 845, Chicago, IL 60606Office #2: 30 S. Wacker Dr Suite 2840, Chicago, IL 60606
BD
CRD#: 292119
Chicago, IL
Past

January 30, 2015 - May 10, 2024

TRADINGBLOCK

BD
CRD#: 128605
Chicago, IL
Past

September 7, 2010 - February 2, 2015

E*TRADE FUTURES LLC

BD
CRD#: 145562
CHICAGO, IL
Past

August 14, 2002 - September 14, 2010

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL
Past

January 2, 2001 - August 28, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

April 23, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

June 19, 1997 - February 22, 1999

W.J. NOLAN & COMPANY, INC.

BD
CRD#: 16465
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
(5/21/2024)
RR
Alaska
(5/21/2024)
RR
Arizona
(5/31/2024)
RR
Arkansas
(6/18/2024)
RR
California
(5/22/2024)
RR
Colorado
(5/22/2024)
RR
Connecticut
(5/22/2024)
RR
Delaware
(6/3/2024)
RR
Florida
(7/8/2024)
RR
Georgia
(5/23/2024)
RR
Idaho
(5/22/2024)
RR
Illinois
(10/25/2018)
RR
Indiana
(7/19/2024)
RR
Iowa
(5/21/2024)
RR
Kansas
(8/14/2024)
RR
Kentucky
(5/24/2024)
RR
Louisiana
(5/30/2024)
RR
Maine
(5/21/2024)
RR
Maryland
(6/4/2024)
RR
Massachusetts
(7/30/2024)
RR
Michigan
(5/23/2024)
RR
Mississippi
(5/21/2024)
RR
Missouri
(3/11/2025)
RR
Montana
(5/22/2024)
RR
Nebraska
(5/21/2024)
RR
Nevada
(5/21/2024)
RR
New Hampshire
(9/27/2024)
RR
New Jersey
(5/21/2024)
RR
New Mexico
(11/25/2024)
RR
New York
(5/22/2024)
RR
North Carolina
(5/22/2024)
RR
North Dakota
(10/21/2024)
RR
Ohio
(5/22/2024)
RR
Oklahoma
(5/21/2024)
RR
Oregon
(5/27/2024)
RR
Pennsylvania
(5/22/2024)
RR
Rhode Island
(5/22/2024)
RR
South Carolina
(5/22/2024)
RR
South Dakota
(5/28/2024)
RR
Texas
(5/22/2024)
RR
Utah
(5/22/2024)
RR
Vermont
(9/9/2024)
RR
Virginia
(5/22/2024)
RR
Washington
(5/21/2024)
RR
West Virginia
(8/5/2024)
RR
Wisconsin
(6/18/2024)
RR
Wyoming
(9/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1996
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 7
Date: 3/20/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AT
AVANT-GARDE TRADING SECURITIES
AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC

CRD#: 292119 / SEC#: , 8-70068

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

Main Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606
Mailing Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606
Phone number
(312) 858-5748
Established
Illinois since 11/23/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PROSPERUM FINANCIAL HOLDINGS, LLCOWNER
ALBINO, MICHAEL JOSEPHCCO864412
ARORA, VRINDAFINOP7784034
GOMPERT, DAVID JOHNCEO1824567

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

AVANT-GARDE TRADING SECURITIES

CRD#: 292119Chicago, IL 60606

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