Michael W. Smith

BAY CREST PARTNERS

New York, NY 10005

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CRD#: 4977012

Professional summary

Michael William Smith is a registered financial professional currently at BAY CREST PARTNERS, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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 William Smith's CRS (Customer Relationship Summary).

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

September 8, 2020 - Present

BAY CREST PARTNERS, LLC

Office #1: 40 Wall Street 42nd Floor, New York, NY 10005

CRD#: 39944

New York, NY

Past

August 9, 2018 - September 10, 2020

MAREX CAPITAL MARKETS INC.

CRD#: 161014

NEW YORK, NY

Past

May 26, 2015 - June 12, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 3, 2013 - May 29, 2015

UNITED FIRST PARTNERS LLC

CRD#: 155456

NY, NY

Past

February 9, 2009 - April 18, 2013

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(9/8/2020)

Exams

State Security Law Exam

Series 63

Date: 3/20/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/4/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/6/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/22/2021

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BAY CREST PARTNERS, LLC

AFC PARTNERS, LLC | BAY CREST PARTNERS, LLC

CRD#: 39944 / SEC#: , 8-48931

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

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Contact information

Main Address

40 Wall Street 42nd Floor, New York, NY 10005

Mailing Address

40 Wall Street 42nd Floor, New York, NY 10005

Phone number

(212) 480-1400

Established

New York since 12/20/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FREEDOM HOLDING GROUP, LLC	SOLE LLC MEMBER
CARBONARA, LISA	CCO	5227955
MULLIGAN, WILLIAM PETER JR.	GENERAL SECURITIES PRINCIPAL, LLC MANAGER, CEO	1614209
SCHEUERMANN, JOSEPH PHILIP	COO	3273673
SCHEUERMANN, JOSEPH PHILIP	PFO, POO, FINOP	3273673
WEISS, NICHOLAS DANIEL	ROP	2856151

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael William Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

OPPENHEIMER & CO. INC.

UNITED FIRST PARTNERS LLC

BNP PARIBAS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/20/2009

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/4/2010

Series 7

Date: 2/6/2009

Series 24

Date: 4/12/2024

Series 4

Date: 11/22/2021

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BAY CREST PARTNERS, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAY CREST PARTNERS, LLC

TRUST BUT VERIFY

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