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TS

Todd N. Smith

PIMCO INVESTMENTS LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4992284
TS

Professional summary

Todd Nathaniel Smith MR., who also goes by Todd Nathaniel Smith, Todd Smith, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.

Todd is registered as a RR (Registered Representative) and started their career in finance in 2005. Todd has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Nathaniel Smith | Todd 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Nathaniel Smith MR.'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

October 15, 2020 - Present

PIMCO INVESTMENTS LLC

Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131
BD
CRD#: 154957
Miami, FL
Past

March 27, 2019 - September 30, 2020

STARWOOD CAPITAL, L.L.C.

BD
CRD#: 146057
GREENWICH, CT
Past

July 28, 2015 - April 3, 2018

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

April 23, 2007 - July 6, 2015

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
PRINCETON, NJ
Past

March 23, 2007 - July 6, 2015

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

August 3, 2005 - March 5, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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
California
(1/9/2026)
RR
Delaware
(8/29/2023)
RR
District of Columbia
(10/15/2020)
RR
Maryland
(10/15/2020)
RR
New York
(1/9/2026)
RR
Texas
(1/9/2026)
RR
West Virginia
(4/25/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/20/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC

CRD#: 154957 / SEC#: , 8-68686

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

Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC INVESTMENT MANAGEMENT COMPANY LLCSOLE MEMBER104559
BENTLEY, JAMES DANIELMANAGER, BOARD OF MANAGERS5138093
BURG, ANTHONY ALANTREASURER6005184
FERRARI, DAVID RICHARDPRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL6004690
HALL, GREGORY WESTONPRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS3111343
MURPHY, JORDAN MITCHELLCHIEF COMPLIANCE OFFICER4221561
OGLESBY, SARAH JANESECRETARY7676855
PITTERS, CALEB JOSEPH ALEXANDER JRMANAGER, BOARD OF MANAGERS3198603
SUTHERLAND, ERIC MICHAELPRESIDENT & MANAGER, BOARD OF MANAGERS1724744
THOMAS, MARK GARETHHEAD OF BUSINESS MANAGEMENT2923871
WHITTAKER, MEGAN HAYESAML COMPLIANCE OFFICER6442805
WHITTEN, CANDICE STACKMANAGER, BOARD OF MANAGERS4460452

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

PIMCO INVESTMENTS LLC

CRD#: 154957Miami, FL 33131

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