Connor J Smith
Professional Summary
Connor J Smith, who also goes by Connor John Smith, is a registered financial advisor currently at IM GLOBAL US DISTRIBUTORS LLC located in El Segundo, California. Connor is registered as a RR (Registered Representative) and started their career in finance in 2023. Connor has worked at 1 firm and has passed the Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Connor J Smith, Connor John Smith
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Years of Experience
3 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
IM GLOBAL US DISTRIBUTORS LLC
Contact Information
Main Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245Mailing Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245Phone Number
(323) 372-2266Established
Delaware since 12/05/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
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 Connor J Smith's CRS (Customer Relationship Summary).
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