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Alexander Joseph Smith

SG Americas Securities, LLC

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About Alexander Joseph Smith

Alexander Joseph Smith is a financial professional with over 8 years of experience in the industry. Alexander is currently registered with SG Americas Securities, LLC and has a Series 3, Series 7TO, Series 99, Series 99TO, and Series 63 license. Alexander has a strong track record of success in the financial services industry. Alexander is committed to providing clients with personalized financial advice and guidance.

Firm Information

Alexander Smith is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alexander Smith’s Registration & Firm History

NY

04/22/2019 - Present

SG Americas Securities, LLC (NEW YORK NY)

NJ

06/30/2015 - 07/27/2016

DEALERWEB INC. (Jersey City NJ)

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Licenses & Designations

BC

Issued 02/07/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/26/2023

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 04/22/2019

Series 7TO - General Securities Representative Examination

BC

Issued 07/27/2016

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/2015

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alexander Joseph Smith.
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