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MS

Michael T. Smyth

IEX SERVICES LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 4450357
MS

Professional summary

Michael Thomas Smyth is a registered financial professional 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.

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 Michael Thomas Smyth'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

August 2, 2017 - Present

IEX SERVICES LLC

Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007
BD
CRD#: 167872
New York, NY
Past

July 1, 2013 - August 3, 2017

VIRTU AMERICAS LLC

BD
CRD#: 149823
New York, NY
Past

December 21, 2011 - July 1, 2013

GETCO SECURITIES, LLC

BD
CRD#: 151233
NEW YORK, NY
Past

September 4, 2001 - December 21, 2011

BANC OF AMERICA SPECIALIST, INC.

BD
CRD#: 103971
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
New York
(8/18/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/10/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/28/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 21
Date: 9/9/2003
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 25
Date: 1/15/2003
NYSE Trading Assistant Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2010
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
IEX SERVICES LLC
IEX SERVICES LLC

CRD#: 167872 / SEC#: , 8-69280

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

Main Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007
Mailing Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007
Phone number
(646) 343-2000
Established
Delaware since 01/22/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IEX GROUP, INC.DIRECT OWNER
KATSUYAMA, BRADLEY TOSHIOPRESIDENT/CEO4463961
ASARE, ALPHONSE KWESIFINOP/POO6140970
DUKESHERER, JACK ROBERTVP/CCO/AMLCO5671449
HARKINS, BRYAN MICHAELSVP4285099
RESNICK, CRAIGVP/CFO/TREASURER/PFO5718420
RYAN, RONAN GSVP5724098

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

IEX SERVICES LLC

CRD#: 167872New York, NY 10007

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