AS
Adam D. Smith
CAMPBELL LUTYENS & CO.
New York, NY 10111
Some features on this profile are disabled
CRD#: 5872383
AS
Professional summary
Adam David Smith, who also goes by Adam Smith, is a registered financial professional currently at CAMPBELL LUTYENS & CO. INC. located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2014. Adam has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Adam Smith
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 David 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
September 18, 2023 - Present
CAMPBELL LUTYENS & CO. INC.
Office #1: 630 Fifth Ave. 36th Floor, New York, NY 10111BD
CRD#: 133376
New York, NY
Past
September 14, 2021 - September 28, 2023
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
August 12, 2014 - October 8, 2021
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
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(9/18/2023)
RR
Alaska(9/18/2023)
RR
Arizona(9/18/2023)
RR
Arkansas(9/18/2023)
RR
California(9/18/2023)
RR
Colorado(9/18/2023)
RR
Connecticut(9/18/2023)
RR
Delaware(9/18/2023)
RR
District of Columbia(9/18/2023)
RR
Florida(9/18/2023)
RR
Georgia(9/18/2023)
RR
Hawaii(9/18/2023)
RR
Idaho(9/18/2023)
RR
Illinois(9/18/2023)
RR
Indiana(9/18/2023)
RR
Iowa(9/18/2023)
RR
Kansas(9/18/2023)
RR
Kentucky(9/18/2023)
RR
Louisiana(9/18/2023)
RR
Maine(9/18/2023)
RR
Maryland(9/18/2023)
RR
Massachusetts(9/18/2023)
RR
Michigan(9/18/2023)
RR
Minnesota(9/18/2023)
RR
Mississippi(9/18/2023)
RR
Missouri(9/18/2023)
RR
Montana(9/18/2023)
RR
Nebraska(9/18/2023)
RR
Nevada(9/18/2023)
RR
New Hampshire(9/18/2023)
RR
New Jersey(9/18/2023)
RR
New Mexico(9/18/2023)
RR
New York(9/18/2023)
RR
North Carolina(9/18/2023)
RR
North Dakota(9/18/2023)
RR
Ohio(9/18/2023)
RR
Oklahoma(9/18/2023)
RR
Oregon(9/18/2023)
RR
Pennsylvania(9/18/2023)
RR
Rhode Island(9/18/2023)
RR
South Carolina(9/18/2023)
RR
South Dakota(9/18/2023)
RR
Tennessee(9/18/2023)
RR
Texas(9/18/2023)
RR
Utah(9/18/2023)
RR
Vermont(9/18/2023)
RR
Virginia(9/18/2023)
RR
Washington(9/18/2023)
RR
West Virginia(9/18/2023)
RR
Wisconsin(9/18/2023)
RR
Wyoming(9/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CAMPBELL LUTYENS & CO. INC.
CAMPBELL LUTYENS & CO. INC.
CRD#: 133376 / SEC#: , 8-66720
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Mailing Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Phone number
(212) 223-8448
Established
Delaware since 03/04/2004
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL LUTYENS HOLDINGS LIMITED | HOLDING CO. OWNER | |
| COOPER, GERALD LEWIS | DIRECTOR | 4848399 |
| DAVIDSSON, CHRISTOFFER | PRESIDENT/DIRECTOR | 3021081 |
| MARROQUIN, GUILLERMO | DIRECTOR | 2791001 |
| PANGBORN, JOEL WILLIAMSON | CHIEF COMPLIANCE OFFICER | 5489742 |
| PAOLINO, CHRISTOPHER SR | FINANCIAL AND OPERATIONS PRINCIPAL | 5707178 |
| SANDSTROM, SARAH ANNE | DIRECTOR | 2278556 |
| WIENER, GREGORY SETH | AMLCO/DIRECTOR | 4877612 |
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.
