Edward F. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Farrelly Smith III, who also goes by Ted Smith, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1979. Edward had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2018 - October 18, 2018
ODEON CAPITAL GROUP LLC
September 18, 2015 - July 2, 2016
BONWICK CAPITAL PARTNERS, LLC
May 20, 2009 - December 31, 2014
EFS MANAGEMENT, LLC
August 27, 2007 - April 4, 2008
NEWOAK CAPITAL MARKETS LLC
January 5, 2006 - August 15, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 16, 2005 - August 15, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2003 - December 6, 2005
ABSOLUTE RETURN ADVISORS, LTD.
August 18, 2000 - November 27, 2002
NORDEA SECURITIES, INC.
April 12, 1996 - July 31, 2000
CARNEGIE, INC.
July 11, 1994 - April 8, 1996
ABG SUNDAL COLLIER INC.
January 11, 1994 - June 20, 1994
DEUTSCHE IXE, LLC
October 17, 1986 - October 14, 1993
GOLDMAN SACHS & CO. LLC
August 8, 1985 - September 18, 1985
LEHMAN BROTHERS INC.
November 19, 1979 - June 27, 1984
BURGESS & LEITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
ODEON CAPITAL GROUP LLC
CRD#: 148493 / SEC#: , 8-68033
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZBERG, EVAN | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 4577412 |
| VAN ALSTYNE, MATHEW HADLOCK | EXECUTIVE MEMBER, MANAGING DIRECTOR & GENERAL SECURITIES PRINCIPAL | 5616065 |
| DORFMAN, AARON PAUL | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 6158487 |
| TOLLA, CHRISTOPHER J | CHIEF COMPLIANCE OFFICER/CHIEF INFORMATION OFFICER | 5516420 |
| WOLF, THOMAS MICHAEL | SVP/ROSFP | 4509850 |
Disclosures
| Regulatory Event | 5 |
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.
