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HS

Heather Smith

ANCORIS SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2811843
HS

Professional summary

Heather Smith, who also goes by Heather Smith Nicolau, Heather Lyn Smith, is a registered financial professional currently at ANCORIS SECURITIES LLC located in New York, New York.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1996. Heather has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather Smith Nicolau | Heather Lyn 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 Heather 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 20, 2021 - Present

ANCORIS SECURITIES LLC

Office #1: 515 Madison Avenue 22nd Floor, New York, NY, 10022Office #2: 515 Madison Avenue 22nd Floor, New York, NY, 10022
BD
CRD#: 305279
New York, NY
Past

June 26, 2019 - January 13, 2022

TANGENT CAPITAL PARTNERS, LLC

BD
CRD#: 146999
SHORT HILLS, NJ
Past

January 22, 2019 - December 19, 2019

WEILD & CO.

BD
CRD#: 132398
New York, NY
Past

May 9, 2017 - September 27, 2018

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

February 21, 2014 - May 8, 2017

DC ADVISORY

BD
CRD#: 129919
NEW YORK, NY
Past

April 22, 2010 - August 15, 2013

NOMURA GREENTECH CAPITAL ADVISORS, LLC

BD
CRD#: 149644
NEW YORK, NY
Past

May 10, 2006 - May 4, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 18, 2000 - May 9, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 2, 1999 - December 18, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 10, 1996 - June 24, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
California
(4/7/2022)
RR
Connecticut
(8/23/2022)
RR
Florida
(11/16/2022)
RR
Illinois
(1/4/2023)
RR
Massachusetts
(11/16/2022)
RR
Michigan
(10/20/2022)
RR
New Jersey
(4/18/2022)
RR
New York
(1/8/2022)
RR
Pennsylvania
(4/11/2022)
RR
Texas
(8/25/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ANCORIS SECURITIES LLC
ANCORIS SECURITIES LLC | UPPERDECK SECURITIES LLC

CRD#: 305279 / SEC#: , 8-70753

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

Main Address
515 Madison Avenue 22nd Floor, New York, NY, 10022
Mailing Address
515 Madison Avenue 22nd Floor, New York, NY, 10022
Phone number
(212) 601-2813
Established
New York since 06/14/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANCORIS CAPITAL PARTNERS LLCSOLE OWNER
PLOTYCIA, STEVEN WILLIAMFINOP5293014
SMITH, HEATHERCEO,CCO2811843

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

ANCORIS SECURITIES LLC

CRD#: 305279New York, NY 10022

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