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Courtney Martin Smith

Smbc Nikko Securities America, Inc.

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About Courtney Martin Smith

Courtney Martin Smith is a financial advisor who has been active in the industry since 2012. Courtney is currently registered with Smbc Nikko Securities America, Inc. Courtney is a Series 7, Series 24, Series 63 and Series 79 licensed financial advisor. Courtney is also registered with the state regulators of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Courtney previously worked with J.P. MORGAN SECURITIES INC.

Firm Information

Courtney Smith is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

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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Courtney Smith’s Registration & Firm History

NY

08/13/2014 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

10/04/2000 - 04/16/2003

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/05/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/11/2021

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 10/03/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Courtney Martin Smith.
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