AS
Adam Smith
KKR CAPITAL MARKETS LLC
New York, NY 10001
Some features on this profile are disabled
CRD#: 5748435
AS
Professional summary
Adam Smith is a registered financial professional currently at KKR CAPITAL MARKETS LLC located in New York, New York and MCS CAPITAL MARKETS LLC located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2010. Adam has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Adam 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®
NoneExperience
Current
March 24, 2010 - Present
KKR CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001Office #2: 30 Hudson Yards, New York, NY 10001BD
CRD#: 143571
New York, NY
Current
January 15, 2013 - Present
MCS CAPITAL MARKETS LLC
Office #1: 30 Hudson Yards, New York, NY 10001Office #2: 30 Hudson Yards, New York, NY 10001BD
CRD#: 151337
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
Alabama(5/4/2012)
RR
Alaska(5/4/2012)
RR
Arizona(5/4/2012)
RR
Arkansas(5/4/2012)
RR
California(5/4/2012)
RR
Colorado(5/4/2012)
RR
Connecticut(5/4/2012)
RR
Delaware(5/4/2012)
RR
District of Columbia(5/4/2012)
RR
Florida(5/4/2012)
RR
Georgia(5/4/2012)
RR
Hawaii(5/4/2012)
RR
Idaho(5/4/2012)
RR
Illinois(5/4/2012)
RR
Indiana(5/4/2012)
RR
Iowa(5/4/2012)
RR
Kansas(5/4/2012)
RR
Kentucky(5/4/2012)
RR
Louisiana(5/4/2012)
RR
Maine(5/4/2012)
RR
Maryland(5/4/2012)
RR
Massachusetts(5/4/2012)
RR
Michigan(5/4/2012)
RR
Minnesota(5/4/2012)
RR
Mississippi(5/4/2012)
RR
Missouri(5/4/2012)
RR
Montana(5/4/2012)
RR
Nebraska(5/4/2012)
RR
Nevada(5/4/2012)
RR
New Hampshire(5/4/2012)
RR
New Jersey(5/4/2012)
RR
New Mexico(5/4/2012)
RR
New York(5/13/2010)
RR
North Carolina(5/7/2012)
RR
North Dakota(5/4/2012)
RR
Ohio(5/7/2012)
RR
Oklahoma(5/4/2012)
RR
Oregon(5/4/2012)
RR
Pennsylvania(5/4/2012)
RR
Puerto Rico(5/4/2012)
RR
Rhode Island(5/4/2012)
RR
South Carolina(5/4/2012)
RR
South Dakota(5/4/2012)
RR
Tennessee(5/4/2012)
RR
Texas(8/19/2010)
RR
Utah(5/4/2012)
RR
Vermont(5/4/2012)
RR
Virgin Islands(5/4/2012)
RR
Virginia(5/4/2012)
RR
Washington(5/4/2012)
RR
West Virginia(5/4/2012)
RR
Wisconsin(5/4/2012)
RR
Wyoming(5/4/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MCS CAPITAL MARKETS LLC
KKR CAPITAL MARKETS II LLC | SEVARA CAPITAL MARKETS, LLC | MCS CAPITAL MARKETS LLC
CRD#: 151337 / SEC#: , 8-68358
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 Hudson Yards, New York, NY 10001
Mailing Address
30 Hudson Yards, New York, NY 10001
Phone number
(212) 750-8300
Established
Delaware since 06/25/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCHANT CAPITAL SOLUTIONS LLC | SOLE MEMBER | |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/OPERATIONS PRINCIPAL | 2605046 |
| SCHWARTZ, JEFFREY I. | CHIEF COMPLIANCE OFFICER | 4961301 |
| SMITH, ADAM | CHIEF EXECUTIVE OFFICER | 5748435 |
| THOMPSON, WILLIAM CADE | CHIEF OPERATING OFFICER | 4566364 |
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.
