Charles Smulevitz
Professional Summary
Charles Smulevitz, who also goes by Charles David Smulevitz, Charlie Smulevitz, Charles Smulevitz, is a registered financial advisor currently at LAIDLAW & COMPANY (UK) LTD. located in New York, New York and SPENCER CLARKE LLC located in North Miami, Florida. Charles is registered as a RR (Registered Representative) and started their career in finance in 2006. Charles has worked at 18 firms and has passed the Series 66, Series 57TO, Series 52TO, Series 99TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles David Smulevitz, Charlie Smulevitz, Charles Smulevitz
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
FARKAS CAPITAL | FARKAS CAPITAL LLC
Contact Information
Main Address
407 Lincoln Road Suite 9f, Miami Beach, FL 33139Mailing Address
407 Lincoln Road Ste 701, Miami Beach, FL 33139Phone Number
(917) 773-6987Established
Florida since 10/18/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(7/25/2022)
(7/22/2022)
(7/25/2022)
(3/13/2014)
(7/21/2022)
(7/13/2022)
(7/19/2022)
(8/9/2022)
(11/18/2022)
(7/15/2022)
(7/18/2022)
(8/11/2022)
(7/14/2022)
(7/14/2022)
(7/28/2022)
(7/11/2022)
(7/15/2022)
(7/12/2022)
(10/3/2022)
(8/16/2022)
(7/12/2022)
(8/11/2022)
(8/26/2022)
(8/4/2022)
(8/17/2022)
(8/9/2022)
(1/31/2025)
(8/4/2022)
(3/19/2013)
(7/21/2022)
(8/15/2022)
(7/12/2022)
(7/18/2022)
(10/19/2022)
(7/13/2022)
(8/2/2022)
(7/25/2022)
(7/12/2022)
(8/5/2024)
(7/19/2022)
(7/27/2022)
(8/12/2022)
(7/21/2022)
(8/4/2022)
(7/11/2022)
(7/25/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Dec 2007About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2006Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 2019About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Smulevitz's CRS (Customer Relationship Summary).
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