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JS

Joshua N. Smith

STONE KEY SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 7269991
JS

Professional summary

Joshua Nicasio Smith, who also goes by Josh Smith, Joshua Smith, is a registered financial professional currently at STONE KEY SECURITIES LLC located in Greenwich, Connecticut.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2021. Joshua has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Josh Smith | Joshua 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Nicasio 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®
None

Experience

Current

April 17, 2023 - Present

STONE KEY SECURITIES LLC

Office #1: 411 West Putnam Avenue, Greenwich, CT 06830Office #2: 411 West Putnam Avenue, Greenwich, CT 06830
BD
CRD#: 152341
Greenwich, CT
Past

September 17, 2021 - October 28, 2022

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
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
Connecticut
(4/17/2023)
RR
New York
(4/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/17/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SK
STONE KEY SECURITIES LLC
STONE KEY SECURITIES LLC

CRD#: 152341 / SEC#: , 8-68440

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
411 West Putnam Avenue, Greenwich, CT 06830
Mailing Address
411 West Putnam Avenue, Greenwich, CT 06830
Phone number
(203) 930-3700
Established
Delaware since 05/18/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STONE KEY GROUP LLCSOLE MEMBER
HEDIN, EARL VICTORFINOP, CFO1976430
URFIRER, MICHAEL JAMESCHAIRMAN, CEO, EXEC. REP,1199849
WEINGARTEN, ALLEN LAWRENCECHIEF COMPLIANCE OFFICER4991149
WEINGARTEN, ALLEN LAWRENCEGENERAL COUNSEL, CHIEF OPERATIONS OFFICER

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.

Company Information

STONE KEY SECURITIES LLC

CRD#: 152341Greenwich, CT 06830

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