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GS

Graham T. Smith

PRIME DECISION CONSULTING LLC
New York, NY
Some features on this profile are disabled
CRD#: 5733422
GS

Professional summary

Graham Trevelyan Smith is a registered financial professional currently at PRIME DECISION CONSULTING LLC located in New York, New York.

Graham is registered as a RR (Registered Representative) and started their career in finance in 2010. Graham has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Graham Trevelyan Smith's 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

February 21, 2018 - Present

PRIME DECISION CONSULTING LLC

Office #2: 11 John Street, Warwick, NY 10990-1413
BD
CRD#: 290948
New York, NY
Past

January 2, 2015 - June 14, 2017

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

March 15, 2011 - January 2, 2015

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

January 26, 2010 - December 21, 2010

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY

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
(2/27/2018)
RR
Connecticut
(5/3/2018)
RR
Illinois
(2/28/2018)
RR
New Jersey
(3/6/2018)
RR
New York
(2/27/2018)
RR
Pennsylvania
(3/1/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/18/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PRIME DECISION CONSULTING LLC
PRIME DECISION CONSULTING LLC

CRD#: 290948 / SEC#: , 8-70042

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

Main Address
11 John Street, Warwick, NY 10990-1413
Mailing Address
11 John Street, Warwick, NY 10990-1413
Phone number
(646) 334-7896
Established
New York since 11/16/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TREVELYAN HOLDINGS INC.OWNER
MEGENITY, BRIAN MCDONALDCCO, FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2889637
SMITH, GRAHAM TREVELYANCEO5733422

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

PRIME DECISION CONSULTING LLC

CRD#: 290948New York, NY

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