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DS

Deborah L. Smith

CC SECURITIES
Palm Harbor, FL 34685
Some features on this profile are disabled
CRD#: 4429184
DS

Professional summary

Deborah Leanne Smith is a registered financial professional 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.

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 Deborah Leanne 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®
None

Experience

Current

April 19, 2011 - Present

CC SECURITIES, LLC

Office #1: 3488 Eastlake Road Suite 102-b, Palm Harbor, FL 34685
BD
CRD#: 153523
Palm Harbor, FL
Past

June 29, 2009 - April 25, 2011

VCAP SECURITIES, LLC

BD
CRD#: 124515
NEW YORK, NY
Past

September 22, 2006 - July 12, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 2, 2005 - August 11, 2006

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
NEW YORK, NY
Past

August 13, 2002 - January 26, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 4, 2001 - December 5, 2001

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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
California
(4/28/2011)
RR
Colorado
(5/16/2011)
RR
Connecticut
(5/27/2011)
RR
District of Columbia
(5/18/2011)
RR
Florida
(6/21/2011)
RR
Georgia
(4/28/2011)
RR
Illinois
(7/19/2011)
RR
Kentucky
(5/9/2011)
RR
Maine
(6/23/2022)
RR
Massachusetts
(5/16/2011)
RR
New Hampshire
(3/30/2022)
RR
New York
(4/21/2011)
RR
North Carolina
(4/26/2011)
RR
Ohio
(5/11/2011)
RR
Pennsylvania
(5/3/2011)
RR
South Carolina
(11/1/2022)
RR
Texas
(6/9/2011)
RR
Virginia
(9/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/16/2021
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CC SECURITIES, LLC
CC SECURITIES, LLC | CENTERCAP SECURITIES, LLC | CENTERCAP SECURITIES

CRD#: 153523 / SEC#: , 8-68546

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

Main Address
3 Landmark Square 5th Floor, Stamford, CT 06901
Mailing Address
3 Landmark Square 5th Floor, Stamford, CT 06901
Phone number
(212) 620-2655
Established
Delaware since 12/07/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE CENTERCAP GROUP, LLCOWNER
BEESON, LISA EYLESOFFICER1735489
GAVLIK, MARGARET WASHBURNCCO1175128
MILLER, ANDREW DAVIDCFO/PRINCIPAL FINANCIAL OFFICER5106774
SMITH, DEBORAH LEANNECEO/PRINCIPAL OPERATIONS OFFICER4429184

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

CC SECURITIES, LLC

CRD#: 153523Palm Harbor, FL 34685

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