Jeffrey W. Smith

ALDWYCH SECURITIES LLC

STAMFORD, CT 06902

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CRD#: 844763

Professional summary

Jeffrey Winslow Smith is a registered financial professional currently at ALDWYCH SECURITIES LLC located in Stamford, Connecticut.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1977. Jeffrey has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Jeffrey Winslow 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

May 31, 2018 - Present

ALDWYCH SECURITIES LLC

Office #1: 208 Harbor Drive Suite 204, Stamford, CT 06902

CRD#: 167980

STAMFORD, CT

Past

March 9, 2017 - May 14, 2018

MARCO POLO SECURITIES INC.

CRD#: 46561

NEW YORK, NY

Past

April 14, 2016 - April 7, 2017

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

September 23, 2010 - April 1, 2016

STONEX FINANCIAL INC.

CRD#: 45993

New York, NY

Past

November 5, 2009 - September 30, 2010

PROVIDENT INTERNATIONAL SECURITIES, INC.

CRD#: 103834

NEW YORK, NY

Past

January 5, 2004 - May 12, 2008

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

April 2, 1997 - December 5, 2003

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 4, 1990 - July 2, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 25, 1985 - June 25, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

March 29, 1983 - January 6, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 24, 1978 - October 10, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 26, 1977 - February 24, 1978

DEAN WITTER & CO. INCORPORATED

CRD#: 6466

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

Connecticut
(5/5/2022)

Exams

State Security Law Exam

Series 63

Date: 5/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/4/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALDWYCH SECURITIES LLC

CRD#: 167980 / SEC#: , 8-69286

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

208 Harbor Drive Suite 204, Stamford, CT 06902

Mailing Address

208 Harbor Drive Suite 204, Stamford, CT 06902

Phone number

(212) 319-2501

Established

New York since 01/17/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ACP CAPITAL MARKETS LLC	SOLE OWNER
BISHOP, MARK JOHN	MANAGING MEMBER, CCO, CFO	2868804
MILLER, JOHN STEVENSON	FINOP	2139980

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.

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Jeffrey W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Winslow Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARCO POLO SECURITIES INC.

BRADLEY WOODS & CO. LTD.

STONEX FINANCIAL INC.

PROVIDENT INTERNATIONAL SECURITIES, INC.

HSBC SECURITIES (USA) INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

DEAN WITTER & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1977

Series 24

Date: 6/4/1997

FINRA

Current Firm

ALDWYCH SECURITIES LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALDWYCH SECURITIES LLC

TRUST BUT VERIFY

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