Steven Thomas Smiley
Professional Summary
Steven Thomas Smiley is a registered financial advisor currently at CITCO SECURITIES INC.. Steven is registered as a RR (Registered Representative) and started their career in finance in 2011. Steven has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
CITCO SECURITIES INC. | CITCO SECURITIES, INC.
Contact Information
Main Address
20 Toronto Street 10th Floor, Toronto, Ontario, M5C 2B8Mailing Address
151 Yonge Street 8th Floor, Toronto, Ontario, M5C 2W7Phone Number
(647) 260-6555Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITCO FINANCIAL PRODUCTS (LONDON) LIMITED | SHAREHOLDER | — |
| CASE, SCOTT RUSSELL | CEO | 2579107 |
| CHIN, PHYLLIS NYUK FAH | FINOP/CFO | 6250921 |
| CULLINANE, JOHN REID | CHIEF COMPLIANCE OFFICER | 5003588 |
| IRAUSQUIN, RONALD FERDINAND | DIRECTOR | 6429179 |
| MISTRY, NITIN AMBUBHAI | DIRECTOR | 6961705 |
| QUÊME, NICOLAS MAURICE RAYMOND | DIRECTOR | 6865554 |
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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.
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State Registrations and Notice Filings
(1/8/2014)
(1/31/2014)
(2/9/2017)
(5/25/2012)
(2/3/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven Thomas Smiley's CRS (Customer Relationship Summary).
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