AS
Austin G. Smith
BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 7265102
AS
Professional summary
Austin Gregory Smith, who also goes by Austin Smith, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2020. Austin has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Austin 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 Austin Gregory 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
August 7, 2020 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
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(8/10/2020)
RR
Alaska(8/10/2020)
RR
Arizona(8/10/2020)
RR
Arkansas(8/10/2020)
RR
California(8/10/2020)
RR
Colorado(8/10/2020)
RR
Connecticut(8/10/2020)
RR
Delaware(8/10/2020)
RR
District of Columbia(8/10/2020)
RR
Florida(8/10/2020)
RR
Georgia(8/10/2020)
RR
Hawaii(8/10/2020)
RR
Idaho(8/10/2020)
RR
Illinois(8/10/2020)
RR
Indiana(8/10/2020)
RR
Iowa(8/10/2020)
RR
Kansas(8/10/2020)
RR
Kentucky(8/10/2020)
RR
Louisiana(8/10/2020)
RR
Maine(8/10/2020)
RR
Maryland(8/10/2020)
RR
Massachusetts(8/10/2020)
RR
Michigan(8/10/2020)
RR
Minnesota(8/10/2020)
RR
Mississippi(8/10/2020)
RR
Missouri(8/10/2020)
RR
Montana(8/10/2020)
RR
Nebraska(8/10/2020)
RR
Nevada(8/10/2020)
RR
New Hampshire(8/10/2020)
RR
New Jersey(8/10/2020)
RR
New Mexico(8/10/2020)
RR
New York(8/7/2020)
RR
North Carolina(8/10/2020)
RR
North Dakota(8/10/2020)
RR
Ohio(8/10/2020)
RR
Oklahoma(8/10/2020)
RR
Oregon(8/10/2020)
RR
Pennsylvania(8/10/2020)
RR
Puerto Rico(8/10/2020)
RR
Rhode Island(8/10/2020)
RR
South Carolina(8/10/2020)
RR
South Dakota(8/10/2020)
RR
Tennessee(8/10/2020)
RR
Texas(8/10/2020)
RR
Utah(8/10/2020)
RR
Vermont(8/10/2020)
RR
Virginia(8/10/2020)
RR
Washington(8/10/2020)
RR
West Virginia(8/10/2020)
RR
Wisconsin(8/10/2020)
RR
Wyoming(8/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/7/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
