RS
Roderick J. Smith
CENTERVIEW PARTNERS LLC
New York, NY 10019
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CRD#: 7386550
RS
Professional summary
Roderick J Smith, who also goes by Roderick Jerome Smith Jr., Roderick Jerome Smith, Roderick J Smith, is a registered financial professional currently at CENTERVIEW PARTNERS LLC located in New York, New York.
Roderick is registered as a RR (Registered Representative) and started their career in finance in 2021. Roderick has worked at 3 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Roderick Jerome Smith Jr. | Roderick Jerome Smith | Roderick J 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.
(1)Name of the other business: United States Army Reserves ; Whether the business is investment-related: No ; Address of the other business: 1334 E Weisgarber Rd Knoxville, TN 37909 ; Nature of the other business: Military ; Your position, title, or relationship with the other business: Captain ; The start date of your relationship: 5/19/2017 ; The approximate number of hours/month you devote to the other business: 21 to 40 ; The number of hours you devote to the other business during securities trading hours: None ; Briefly describe your duties relating to the other business: Team Leader for a Civil Affairs unit (2)Name of the other business: Hilliard, Smith & Hunt ; Whether the business is investment-related: No ; Address of the other business: 228 18th St N Birmingham, AL 35203 ; Nature of the other business: Employment ; Your position, title, or relationship with the other business: Assistant ; The start date of your relationship: 11/3/2021 ; The approximate number of hours/month you devote to the other business: 6 to 10 ; The number of hours you devote to the other business during securities trading hours: None ; Briefly describe your duties relating to the other business: Clerical
CRS (Client Relationship Summary) - BD
Click below to view Roderick J 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 27, 2024 - Present
CENTERVIEW PARTNERS LLC
Office #1: 31 West 52nd Street 22nd Floor, New York, NY 10019BD
CRD#: 133796
New York, NY
Past
March 2, 2022 - March 9, 2023
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Columbus, GA
Past
November 17, 2021 - March 9, 2023
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
COLUMBUS, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/12/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 11/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
CENTERVIEW PARTNERS LLC
CENTERVIEW PARTNERS LLC | PRUZAN & CO., LLC
CRD#: 133796 / SEC#: , 8-66774
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Mailing Address
31 West 52nd Street 22nd Floor, New York, NY 10019
Phone number
(212) 380-2650
Established
Delaware since 02/25/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CENTERVIEW PARTNERS ADVISORY HOLDINGS LLC | MANAGING MEMBER | |
| EFFRON, BLAIR WAYNE | PARTNER | 1532642 |
| HARTMAN, ALAN PHILIP | PARTNER | 2595280 |
| KOSOWSKY, AMANDA LENORE | CHIEF COMPLIANCE OFFICER | 6639399 |
| PRUZAN, ROBERT ALAN | PARTNER | 2018542 |
| ROBINSON, MARK JASON | PARTNER | 2394581 |
| VICARI, JEANNE | FINOP & CHIEF FINANCIAL OFFICER | 1975263 |
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.
