BS
Brian G. Smith
CIBC WORLD MARKETS
New York, NY 10017
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CRD#: 4821254
BS
Professional summary
Brian Gerald Smith, who also goes by Brian G Smith, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian G Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Gerald 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®
NoneExperience
Current
September 18, 2018 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017BD
CRD#: 630
New York, NY
Past
May 24, 2012 - September 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 28, 2008 - June 6, 2012
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 21, 2004 - April 28, 2008
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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
Alabama(9/18/2018)
RR
Alaska(9/18/2018)
RR
Arizona(9/18/2018)
RR
Arkansas(9/18/2018)
RR
California(9/18/2018)
RR
Colorado(9/18/2018)
RR
Connecticut(9/18/2018)
RR
Delaware(9/18/2018)
RR
District of Columbia(9/18/2018)
RR
Florida(9/18/2018)
RR
Georgia(9/18/2018)
RR
Hawaii(9/18/2018)
RR
Idaho(9/18/2018)
RR
Illinois(9/18/2018)
RR
Indiana(9/18/2018)
RR
Iowa(9/18/2018)
RR
Kansas(9/18/2018)
RR
Kentucky(9/18/2018)
RR
Louisiana(9/18/2018)
RR
Maine(9/18/2018)
RR
Maryland(9/18/2018)
RR
Massachusetts(9/18/2018)
RR
Michigan(9/18/2018)
RR
Minnesota(9/18/2018)
RR
Mississippi(9/18/2018)
RR
Missouri(9/18/2018)
RR
Montana(9/18/2018)
RR
Nebraska(9/18/2018)
RR
Nevada(9/18/2018)
RR
New Hampshire(9/18/2018)
RR
New Jersey(9/18/2018)
RR
New Mexico(9/18/2018)
RR
New York(9/18/2018)
RR
North Carolina(9/18/2018)
RR
North Dakota(9/18/2018)
RR
Ohio(9/18/2018)
RR
Oklahoma(9/18/2018)
RR
Oregon(9/18/2018)
RR
Pennsylvania(9/18/2018)
RR
Rhode Island(9/18/2018)
RR
South Carolina(9/18/2018)
RR
South Dakota(9/18/2018)
RR
Tennessee(9/18/2018)
RR
Texas(9/18/2018)
RR
Utah(9/18/2018)
RR
Vermont(9/18/2018)
RR
Virginia(9/18/2018)
RR
Washington(9/18/2018)
RR
West Virginia(9/18/2018)
RR
Wisconsin(9/18/2018)
RR
Wyoming(9/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/1/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/11/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
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
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.
CRD#: 630 / SEC#: , 8-18333
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
