Adam Smirti

GAMMA SECURITIES

San Juan, PR 00901

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CRD#: 5214319

Professional summary

Adam Smirti, who also goes by Adam D Smirti, Adam Douglas Smirti, is a registered financial professional currently at GAMMA SECURITIES, LLC located in San Juan, .

Adam is registered as a RR (Registered Representative) and started their career in finance in 2013. Adam has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adam D Smirti | Adam Douglas Smirti

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 Adam Smirti'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

May 20, 2025 - Present

GAMMA SECURITIES, LLC

Office #1: 500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901

CRD#: 298341

San Juan, PR

Past

November 7, 2022 - May 27, 2025

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

CRD#: 114212

NEW YORK, NY

Past

January 3, 2022 - October 26, 2022

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

January 19, 2021 - July 8, 2021

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

August 26, 2019 - January 3, 2022

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

June 14, 2019 - June 18, 2019

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

March 5, 2018 - June 18, 2019

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

December 5, 2016 - August 27, 2019

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

November 16, 2013 - December 14, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

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
(5/20/2025)

Exams

State Security Law Exam

Series 63

Date: 8/22/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GAMMA SECURITIES, LLC

GAMMA SECURITIES, INC. | GAMMA SECURITIES, LLC

CRD#: 298341 / SEC#: , 8-70195

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901

Mailing Address

500 Calle De La Tanca Suite 305 Ochoa Building, San Juan, PR 00901

Phone number

(787) 957-3260

Established

Puerto Rico since 06/25/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GAMMA INTERNATIONAL BANK, INC	OWNER
DE JESUS CARMONA, MARIA EUGENIA	FINOP	7379892
GALARZA-SOSA, DAVID	CHIEF COMPLIANCE OFFICER/AMLCO	5221334
TRONCOSO ACEBAL, MANUEL PELAYO	CHIEF EXECUTIVE OFFICER/PRESIDENT	6230010

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

Adam Smirti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Smirti's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

BGC FINANCIAL, L.P.

BGC FINANCIAL, L.P.

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

GFI SECURITIES LLC

BGC FINANCIAL, L.P.

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2013

FINRA

Current Firm

GAMMA SECURITIES, LLC

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GAMMA SECURITIES, LLC

TRUST BUT VERIFY

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