Christopher S. Smith

FNBB CAPITAL MARKETS

Birmingham, AL 35209

Some features on this profile are disabled

CRD#: 7495129

Professional summary

Christopher Stephen Smith, who also goes by Chris Smith, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris 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 Christopher Stephen Smith's CRS (Customer Relationship Summary).

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

February 6, 2024 - Present

FNBB CAPITAL MARKETS, LLC

Office #1: 600 University Park Place Suite 380, Birmingham, AL 35209

RIA

CRD#: 132091

Birmingham, AL

Past

June 23, 2022 - January 17, 2024

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(4/18/2024)

Georgia
(4/18/2024)

Illinois
(12/17/2024)

Iowa
(10/31/2024)

Kentucky
(12/19/2024)

Louisiana
(12/19/2024)

Pennsylvania
(11/20/2024)

Exams

State Security Law Exam

Series 63

Date: 10/31/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/4/2024

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 11/17/2017

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FNBB CAPITAL MARKETS, LLC

CRD#: 132091 / SEC#: , 8-66553

Alabama

Registered Investment Advisory firm - SEC (8/2/2017 Approved)

Louisiana

Registered Investment Advisory firm - SEC (8/3/2017 Approved)

Mississippi

Registered Investment Advisory firm - SEC (9/6/2017 Approved)

Tennessee

Registered Investment Advisory firm - SEC (8/7/2017 Approved)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

600 University Park Place Suite 380, Birmingham, AL 35209

Mailing Address

600 University Park Place Suite 380, Birmingham, AL 35209

Phone number

(205) 262-2522

Established

Louisiana since 11/24/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

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

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Stephen Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

FNBB CAPITAL MARKETS, LLC

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/2022

Series 7TO

Date: 6/4/2024

Series 52

Date: 11/17/2017

FINRA

Current Firm

FNBB CAPITAL MARKETS, LLC

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FNBB CAPITAL MARKETS, LLC

TRUST BUT VERIFY

Similar Advisors