Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Gerard Smith is a financial advisor with Cowen and Co., registered in 7 states including New Jersey, New York and Texas. Christopher has been in the financial industry since 2010. Christopher has a Series 7, Series 55, Series 63, Series 57TO, and a Series 79TO license.
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.
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.
1
2
NJ
10/24/2018 - Present
Cowen AND Co. (Summit NJ)
NY
05/14/2013 - 10/11/2018
FBN SECURITIES, INC. (NY NY)
NY
02/13/2013 - 05/16/2013
PPG WEST LLC (NEW YORK NY)
NY
08/29/2011 - 05/16/2013
PHOENIX DERIVATIVES GROUP, LLC (NEW YORK NY)
NY
02/17/2010 - 08/23/2011
MILLER TABAK + CO., LLC (NEW YORK NY)
BC
Issued 04/06/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/16/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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