KS
Katie A. Smith
FEF DISTRIBUTORS
New York, NY 10105
Some features on this profile are disabled
CRD#: 7589169
KS
Professional summary
Katie Anne Smith, who also goes by Katie Smith, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Katie is registered as a RR (Registered Representative) and started their career in finance in 2023. Katie has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie 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.
CRS (Client Relationship Summary) - BD
Click below to view Katie Anne 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
January 8, 2026 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800BD
CRD#: 46585
New York, NY
Past
August 18, 2023 - December 4, 2025
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
Alabama(1/8/2026)
RR
Alaska(1/8/2026)
RR
Arizona(1/8/2026)
RR
Arkansas(1/8/2026)
RR
California(1/8/2026)
RR
Colorado(1/8/2026)
RR
Connecticut(1/8/2026)
RR
Delaware(1/8/2026)
RR
District of Columbia(1/8/2026)
RR
Florida(1/8/2026)
RR
Georgia(1/8/2026)
RR
Hawaii(1/8/2026)
RR
Idaho(1/8/2026)
RR
Illinois(1/8/2026)
RR
Indiana(1/8/2026)
RR
Iowa(1/8/2026)
RR
Kansas(1/8/2026)
RR
Kentucky(1/8/2026)
RR
Louisiana(1/8/2026)
RR
Maine(1/8/2026)
RR
Maryland(1/8/2026)
RR
Massachusetts(1/8/2026)
RR
Michigan(1/8/2026)
RR
Minnesota(1/8/2026)
RR
Mississippi(1/8/2026)
RR
Missouri(1/8/2026)
RR
Montana(1/8/2026)
RR
Nebraska(1/8/2026)
RR
Nevada(1/8/2026)
RR
New Hampshire(1/8/2026)
RR
New Jersey(1/8/2026)
RR
New Mexico(1/8/2026)
RR
New York(1/8/2026)
RR
North Carolina(1/8/2026)
RR
North Dakota(1/8/2026)
RR
Ohio(1/8/2026)
RR
Oklahoma(1/8/2026)
RR
Oregon(1/8/2026)
RR
Pennsylvania(1/8/2026)
RR
Puerto Rico(1/8/2026)
RR
Rhode Island(1/8/2026)
RR
South Carolina(1/8/2026)
RR
South Dakota(1/8/2026)
RR
Tennessee(1/8/2026)
RR
Texas(1/8/2026)
RR
Utah(1/8/2026)
RR
Vermont(1/8/2026)
RR
Virginia(1/8/2026)
RR
Washington(1/8/2026)
RR
West Virginia(1/8/2026)
RR
Wisconsin(1/8/2026)
RR
Wyoming(1/8/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
