Zachary S. Smith
Professional summary
Zachary S Smith, who also goes by Zachary S Smith, Zachary Scott Smith, is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
Zachary is registered as a RR (Registered Representative) and started their career in finance in 2009. Zachary has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 82 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Zachary S Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 13, 2025 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601November 28, 2023 - February 4, 2025
MORGAN STANLEY DISTRIBUTION, INC.
August 2, 2023 - January 3, 2024
PICKWICK CAPITAL PARTNERS, LLC
December 9, 2022 - July 21, 2023
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
August 10, 2021 - December 2, 2022
SEPULVEDA DISTRIBUTORS LLC
December 4, 2018 - June 9, 2021
SEPULVEDA DISTRIBUTORS LLC
October 15, 2009 - November 12, 2018
ALLSPRING FUNDS DISTRIBUTOR, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2025)
Exams
Series 7TO
Date: 8/26/2024
General Securities Representative ExaminationFINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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