William G. Smaragdas

WESTPAC CAPITAL MARKETS LLC

NEW YORK, NY 10022

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CRD#: 2984594

Professional summary

William George Smaragdas is a registered financial professional currently at WESTPAC CAPITAL MARKETS LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 14, Series 24, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 William George Smaragdas'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

March 4, 2020 - Present

WESTPAC CAPITAL MARKETS LLC

Office #1: 390 Park Avenue 14th Floor, New York, NY 10022

CRD#: 164763

NEW YORK, NY

Past

October 7, 2008 - June 25, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 17, 2005 - September 16, 2008

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 1, 2004 - May 5, 2005

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

January 3, 2001 - February 7, 2003

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

December 3, 1999 - January 2, 2001

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 27, 1998 - February 3, 1999

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 1/24/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/24/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 2/12/2025

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/28/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/2/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 11/21/2005

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

WESTPAC CAPITAL MARKETS LLC

CRD#: 164763 / SEC#: , 8-69113

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

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Contact information

Main Address

390 Park Avenue 14th Floor, New York, NY 10022

Mailing Address

390 Park Avenue 14th Floor, New York, NY 10022

Phone number

(212) 551-1800

Established

Delaware since 06/07/2012

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WESTPAC CAPITAL MARKETS HOLDING CORPORATION	MEMBER
BROWN, STUART JOHN	BOARD MEMBER	7382811
GLYNN, MICHAEL GERARD	CHIEF FINANCIAL OFFICER	3219445
GORMAN, DENNIS	ELECTED MEMBER	6089133
LOGAN-POWELL, JACQUELINE KATE	ELECTED MEMBER	7847135
MASOR, JEFFREY LAWRENCE	AML OFFICER	6500490
PORTES, SUSAN LIFSEY	CHIEF COMPLIANCE OFFICER	1925615
VAN DER GRIEND, MARK	CEO, ELECTED MEMBER	2319152

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

William G. Smaragdas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William George Smaragdas's CRS (Customer Relationship Summary).

Certified licenses

Experience

DEUTSCHE BANK SECURITIES INC.

COWEN AND COMPANY

BNP PARIBAS SECURITIES CORP.

DAIWA CAPITAL MARKETS AMERICA INC.

CITICORP INVESTMENT SERVICES

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/1998

Series 55

Date: 1/24/2005

Series 7

Date: 4/24/1998

Series 14

Date: 2/12/2025

Series 24

Date: 12/15/2020

Series 10

Date: 11/28/2006

Series 9

Date: 5/2/2006

Series 4

Date: 11/21/2005

FINRA

Current Firm

WESTPAC CAPITAL MARKETS LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WESTPAC CAPITAL MARKETS LLC

TRUST BUT VERIFY

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