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ES

Elliot J. Smith

Some features on this profile are disabled
CRD#: 427485
ES

Professional summary

Elliot Joel Smith was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Elliot is a previously registered financial professional and started their career in finance in 1965. Prior to being barred, Elliot had worked at 10 firms, which includes BROADBAND CAPITAL MANAGEMENT LLC, OSCAR GRUSS & SON INCORPORATED, LADENBURG THALMANN & CO. INC., RICKEL & ASSOCIATES INC., BLUESTONE CAPITAL CORP., R. LEWIS SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 30, 2000 - June 1, 2006

BROADBAND CAPITAL MANAGEMENT, LLC

BD
CRD#: 48001
NEW YORK, NY
Past

July 2, 1998 - April 28, 2000

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

October 16, 1997 - February 27, 1998

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

May 3, 1995 - September 17, 1997

RICKEL & ASSOCIATES, INC.

BD
CRD#: 7839
NEW YORK, NY
Past

May 7, 1984 - April 3, 1995

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

February 23, 1983 - April 12, 1984

R. LEWIS SECURITIES, INC.

BD
CRD#: 7705
Past

September 16, 1977 - June 14, 1983

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

BD
CRD#: 7238
Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

BD
CRD#: 7058
Past

November 1, 1965 - February 27, 1976

BACHE & CO., INCORPORATED

BD
CRD#: 66

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
Series 63
Date: 6/14/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/1992
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination

Current Firm

BC
BROADBAND CAPITAL MANAGEMENT, LLC
BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001 / SEC#: , 8-51992

BD
Terminated by SEC on 06/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROADBAND CAPITAL HOLDINGS, LLC96.1% OWNER
WAGENHEIM, PHILIP ROBERTVICE CHAIRMAN/ GSP/ .78% OWNER2243599
WAGENHEIM, PHILIP ROBERTCHIEF COMPLIANCE OFFICER (CCO)2243599
RAPOPORT, MICHAEL DAVIDCHAIRMAN/ 3.12% OWNER2027143
STOLTZ, MARC HAROLDFINOP1008943

Disclosures

Regulatory Event4

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

BROADBAND CAPITAL MANAGEMENT, LLC

CRD#: 48001

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