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SS

Stephen F. Smartt

STRONG CAPITAL MARKETS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2995694
SS

Professional summary

Stephen Frederick Smartt is a registered financial professional currently at STRONG CAPITAL MARKETS, LLC located in Stamford, Connecticut.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Stephen Frederick Smartt'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

October 3, 2025 - Present

STRONG CAPITAL MARKETS, LLC

Office #1: 1266 East Main Street, Stamford, CT 06902
BD
CRD#: 314056
Stamford, CT
Past

June 22, 2022 - March 13, 2023

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 22, 2022 - March 13, 2023

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
New York, NY
Past

October 1, 2012 - January 3, 2020

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

October 1, 2012 - January 3, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 10, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK CITY, NY
Past

September 10, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK CITY, NY
Past

April 27, 2007 - July 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

November 11, 2006 - July 2, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 10, 2004 - October 17, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

February 28, 2001 - November 29, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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
RR
IAR
Series 66
Date: 4/8/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/26/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STRONG CAPITAL MARKETS, LLC
STRONG CAPITAL MARKETS, LLC

CRD#: 314056 / SEC#: , 8-70746

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

Main Address
1266 East Main Street, Stamford, CT 06902
Mailing Address
1266 East Main Street, Stamford, CT 06902
Phone number
(475) 477-9600
Established
Delaware since 03/02/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 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#
STRONG CAPITAL HOLDINGS COMPANY, LLCSOLE MEMBER
ARMSTRONG, GORDON LAWRENCEPRESIDENT, CHIEF COMPLIANCE OFFICER2554979
COPPETO, JOHN LOUISCHIEF OPERATING OFFICER2044981
KRIEWALD, JESSICAFINOP/POO/PFO7052634

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

STRONG CAPITAL MARKETS, LLC

CRD#: 314056Stamford, CT 06902

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