Jacob C. Smith
Professional summary
Jacob Cody Smith, who also goes by Jacob Cody Smith, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 2020. Jacob has worked at 2 firms and has passed the Series 63, Series 87, Series 86, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jacob Cody Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2022 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017February 14, 2020 - April 25, 2022
OTR GLOBAL TRADING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 7TO
Date: 2/14/2020
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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