Christopher J. Smith
Professional summary
Christopher Joel Smith, who also goes by Chris Smith, is a registered financial professional currently at PERSHING LLC located in Jersey City, New Jersey and PERSHING ADVISOR SOLUTIONS LLC located in Jersey City, New Jersey.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2016. Christopher has worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Joel Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2016 - Present
PERSHING LLC
Office #1: One Pershing Plaza - Jersey City Osj, Jersey City, NJ 07399June 1, 2022 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: One Pershing Plaza Pas Jersey City Osj, Jersey City, NJ 07399State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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