Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brendan? Claim Your ProfileBrendan Christopher Smith is a financial advisor with over 23 years of experience in the industry. Currently, Brendan Smith is registered with Aegis Capital Corp., where he has been employed since June 3, 2010. Previously, Brendan Smith was registered with firms such as Hold Brothers On-Line Investment Services L.L.C. and Assent LLC. Brendan Smith is licensed to provide investment advice in the state of New York. Brendan Smith has successfully completed the following exams: Series 63, Series 24, Series 99TO, Series 57TO, SIE, Series 55, and Series 7.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NY
06/03/2010 - Present
Aegis Capital Corp. (NEW YORK NY)
NJ
08/11/2009 - 12/21/2009
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (JERSEY CITY NJ)
NJ
02/27/2008 - 09/26/2008
ASSENT LLC (HOBOKEN NJ)
NJ
09/14/2004 - 09/24/2007
HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (JERSEY CITY NJ)
IL
12/12/2003 - 09/22/2004
ASSENT LLC (BOLINGBROOK IL)
IL
03/03/2003 - 11/24/2003
ASSENT LLC (BOLINGBROOK IL)
NY
10/02/2002 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
07/09/1997 - 09/06/2002
WEATHERLY SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 06/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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