Michael Thomas Smyth
Professional Summary
Michael Thomas Smyth is a registered financial advisor currently at IEX SERVICES LLC located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 21, Series 25 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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Contact Information
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
IEX SERVICES LLC
Contact Information
Main Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007Mailing Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007Phone Number
(646) 343-2000Established
Delaware since 01/22/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 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
(8/18/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2011Series 21 — NYSE Front Line Specialist Clerk
Passed Sep 2003Series 25 — NYSE Trading Assistant Examination
Passed Jan 2003SRO Registrations
SRO Registrations
SRO Registrations
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SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Thomas Smyth's CRS (Customer Relationship Summary).
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