SS
Scott A. Smith
ROTHSCHILD & CO REDBURN
New York, NY 10017
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CRD#: 4199299
SS
Professional summary
Scott Alger Smith is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Scott Alger 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®
NoneExperience
Current
January 10, 2025 - Present
ROTHSCHILD & CO REDBURN
Office #1: 461 Fifth Avenue 15th Floor, New York, NY 10017BD
CRD#: 140564
New York, NY
Past
August 25, 2015 - May 2, 2024
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
June 2, 2010 - December 16, 2014
EVERCORE GROUP L.L.C.
BD
CRD#: 42405
New York, NY
Past
May 1, 2008 - May 17, 2010
DEMATTEO RESEARCH LLC
BD
CRD#: 43741
NEW YORK, NY
Past
March 28, 2005 - December 10, 2007
LEERINK PARTNERS LLC
BD
CRD#: 39011
NEW YORK, NY
Past
March 12, 2001 - March 14, 2005
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
May 25, 2000 - March 6, 2001
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
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
Alabama(1/10/2025)
RR
Alaska(1/10/2025)
RR
Arizona(1/10/2025)
RR
California(1/10/2025)
RR
Colorado(1/10/2025)
RR
Connecticut(1/10/2025)
RR
Delaware(1/10/2025)
RR
District of Columbia(1/10/2025)
RR
Florida(1/10/2025)
RR
Georgia(1/10/2025)
RR
Illinois(1/10/2025)
RR
Iowa(1/10/2025)
RR
Kansas(1/10/2025)
RR
Kentucky(1/10/2025)
RR
Maryland(1/10/2025)
RR
Massachusetts(1/10/2025)
RR
Minnesota(1/10/2025)
RR
Missouri(1/10/2025)
RR
New Hampshire(1/10/2025)
RR
New Jersey(1/10/2025)
RR
New York(1/10/2025)
RR
North Carolina(1/10/2025)
RR
Ohio(1/31/2025)
RR
Oklahoma(1/10/2025)
RR
Oregon(1/10/2025)
RR
Pennsylvania(1/10/2025)
RR
Rhode Island(1/10/2025)
RR
South Dakota(1/10/2025)
RR
Tennessee(1/10/2025)
RR
Texas(1/10/2025)
RR
Utah(1/10/2025)
RR
Vermont(1/10/2025)
RR
Virginia(1/10/2025)
RR
Washington(1/10/2025)
RR
Wisconsin(1/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/6/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
R&
ROTHSCHILD & CO REDBURN
REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LLC | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC
CRD#: 140564 / SEC#: , 8-67320
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Phone number
(212) 803-7300
Established
Delaware since 04/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO REDBURN | PARENT COMPANY | 325601 |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
| Regulatory Event | 1 |
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.
