Brian Smith
Professional Summary
Brian Smith, who also goes by Brian P Smith, Brian Patrick Smith, Brian Smith, is a registered financial advisor currently at BIDS TRADING L.P. located in New York, New York. Brian is registered as a RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 4 firms and has passed the Series 63, Series 82TO, Series 57TO, Series 99TO, Series 52TO, Series 6TO, Series 22TO, SIE, Series 55, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brian P Smith, Brian Patrick Smith, Brian Smith
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
BIDS TRADING L.P.
Contact Information
Main Address
One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006Mailing Address
One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006Phone Number
(212) 618-2060Established
Delaware since 06/14/2006Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BIDS HOLDINGS L.P. | SOLE LIMITED PARTNER | — |
| BERTE, STEPHEN | PRESIDENT | 6813438 |
| BIDS HOLDINGS GP LLC | GENERAL PARTNER | — |
| BOLTON, STEPHEN ANTHONY | PRINCIPAL FINANCIAL OFFICER | 7201776 |
| LAZO, THEODORE RICHARD | CHIEF LEGAL OFFICER | 7215911 |
| SARHAN, ADEL | CHIEF OPERATING OFFICER | 5354052 |
| SMITH, BRIAN | CHIEF COMPLIANCE OFFICER | 2866603 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(12/9/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2009SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brian Smith's CRS (Customer Relationship Summary).
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