Christopher Stephen Smith
Professional Summary
Christopher Stephen Smith, who also goes by Chris Smith, is a registered financial advisor currently at FNBB CAPITAL MARKETS, LLC located in Birmingham, Alabama. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2022. Christopher has worked at 2 firms and has passed the Series 63, Series 7TO and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FNBB CAPITAL MARKETS, LLC
Contact Information
Main Address
600 University Park Place Suite 380, Birmingham, AL 35209Mailing Address
600 University Park Place Suite 380, Birmingham, AL 35209Phone Number
(205) 262-2522Established
Louisiana since 11/24/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
27FINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL BANKER'S BANKSHARES, INC. | PARENT COMPANY | — |
| BOUDREAUX, LAURA J. | PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER | 4823412 |
| CORTS, CHRISTIAN HAAS | PRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER | 2581628 |
| QUINLAN, JOSEPH FRANCIS JR | MEMBER | 1579877 |
Disclosures
Regulatory Event
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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
(4/18/2024)
(4/18/2024)
(12/17/2024)
(10/31/2024)
(12/19/2024)
(12/19/2024)
(11/20/2024)
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 Christopher Stephen Smith's CRS (Customer Relationship Summary).
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