Brian Smith
Professional summary
Brian Smith, who also goes by Brian P Smith, Brian Patrick Smith, Brian Smith, is a registered financial professional 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, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2021 - Present
BIDS TRADING L.P.
Office #1: One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006September 10, 2021 - December 9, 2021
CARTA CAPITAL MARKETS, LLC
April 12, 2007 - August 16, 2021
BIDS TRADING L.P.
April 2, 2007 - April 11, 2007
MORGAN STANLEY & CO. LLC
January 4, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2021)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 55
Date: 2/20/2009
Limited Representative-Equity Trader ExamFINRA
Current Firm
BIDS TRADING L.P.
CRD#: 141296 / SEC#: , 8-67376
Contact information
FINRA licenses (1 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 | 2 |
Red Flags
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