Deborah Leanne Smith
Professional Summary
Deborah Leanne Smith is a registered financial advisor currently at CC SECURITIES, LLC located in Palm Harbor, Florida. Deborah is registered as a RR (Registered Representative) and started their career in finance in 2001. Deborah has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
CC SECURITIES, LLC | CENTERCAP SECURITIES, LLC | CENTERCAP SECURITIES
Contact Information
Main Address
3 Landmark Square 5th Floor, Stamford, CT 06901Mailing Address
3 Landmark Square 5th Floor, Stamford, CT 06901Phone Number
(212) 620-2655Established
Delaware since 12/07/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (28 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(4/28/2011)
(5/16/2011)
(5/27/2011)
(5/18/2011)
(6/21/2011)
(4/28/2011)
(7/19/2011)
(5/9/2011)
(6/23/2022)
(5/16/2011)
(3/30/2022)
(4/21/2011)
(4/26/2011)
(5/11/2011)
(5/3/2011)
(11/1/2022)
(6/9/2011)
(9/8/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2021About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Deborah Leanne Smith's CRS (Customer Relationship Summary).
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