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CS

Carson K. Smith

SGP SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 7278726
CS

Professional summary

Carson Kincaid Smith, who also goes by Carson K Smith, is a registered financial professional currently at SGP SECURITIES, LLC located in New York, New York.

Carson is registered as a RR (Registered Representative) and started their career in finance in 2020. Carson has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carson K 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 Carson Kincaid 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

January 14, 2025 - Present

SGP SECURITIES, LLC

Office #1: 31 Hudson Yards 11th Floor, New York, NY, 10001Office #2: 31 Hudson Yards 11th Floor, New York, NY 10001
BD
CRD#: 328824
NEW YORK, NY
Past

January 25, 2024 - December 21, 2024

GLC SECURITIES, LLC

BD
CRD#: 153581
NEW YORK, NY
Past

August 17, 2020 - October 21, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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
New York
(1/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/25/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/10/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SGP SECURITIES, LLC
SGP SECURITIES, LLC

CRD#: 328824 / SEC#: , 8-71225

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

Main Address
31 Hudson Yards 11th Floor, New York, NY, 10001
Mailing Address
31 Hudson Yards 11th Floor, New York, NY, 10001
Phone number
(650) 823-5437
Established
Delaware since 09/26/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SGP CAPITAL ADVISORS, LLCOWNER
GOFFMAN, JAY MICHAELCO-CEO1663938
MATTERA, RICHARD JOSEPHFINOP2246513
SMITH, STEVEN DAVIDCO-CEO, CCO, AMLCO2434740

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

SGP SECURITIES, LLC

CRD#: 328824New York, NY 10001

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