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Christopher Joseph Smith

Barclays Capital Inc.

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About Christopher Joseph Smith

Christopher Smith is a financial advisor with Barclays Capital Inc. Christopher has over 10 years of experience in the financial industry. Christopher holds Series 7 and Series 66 securities licenses and the SIE exam. Christopher is registered to conduct business in New York. Christopher has previously worked at Citigroup Global Markets Inc., GFI Securities LLC, SecureVest Financial Group, Standard Credit Securities Inc. and T. Rowe Price Investment Services, Inc.

Firm Information

Christopher Smith is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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Christopher Smith’s Registration & Firm History

NY

04/02/2019 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

11/06/2015 - 04/17/2019

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/29/2014 - 04/22/2015

GFI SECURITIES LLC (NEW YORK NY)

NJ

07/01/2013 - 09/30/2014

SECUREVEST FINANCIAL GROUP (MORRISTOWN NJ)

NY

12/09/2011 - 06/25/2013

STANDARD CREDIT SECURITIES INC. (NEW YORK NY)

NY

07/15/2009 - 04/27/2011

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

FL

06/06/2006 - 08/02/2007

T. ROWE PRICE INVESTMENT SERVICES, INC. (TAMPA FL)

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Licenses & Designations

BOTH

Issued 06/28/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/05/2006

Series 7 - General Securities Representative 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 Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, 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 Christopher Joseph Smith.
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