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Erik Samuel Smith

Zeus Financial, LLC

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About Erik Samuel Smith

Erik Samuel Smith is a registered representative with Zeus Financial, LLC. Erik has been in the financial services industry since June 15, 1997. Erik has experience working with Advisors Asset Management, Inc., CERT DIRECT SECURITIES INC., and BANC OF AMERICA INVESTMENT SERVICES, INC., among others. Erik is licensed to sell securities in the state of New York and holds several industry certifications including the Series 7, Series 24, Series 55, and the SIE Exam.

Firm Information

Erik Smith is currently registered with Zeus Financial, LLC. Zeus Financial, LLC is a Limited Liability Company formed in 1986. The firm is registered with the SEC and in 29 states.

Not reported

Assets Under Management

Not reported

Total Clients

21

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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Erik Smith’s Registration & Firm History

NY

01/12/2022 - Present

Zeus Financial, LLC (Great Neck NY)

NY

12/01/2015 - 12/03/2021

NATHAN HALE CAPITAL, LLC (New York NY)

NY

01/10/2012 - 11/02/2015

ADVISORS ASSET MANAGEMENT, INC. (NEW YORK NY)

NY

05/16/2006 - 01/30/2012

CERT DIRECT SECURITIES INC. (NEW YORK NY)

CA

01/05/2005 - 06/23/2005

FINANCE 500, INC. (IRVINE CA)

MA

10/20/2004 - 10/29/2004

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NY

01/02/2001 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

TX

07/17/1996 - 01/02/2001

FLEET SECURITIES, INC. (DALLAS TX)

NA

06/02/1994 - 10/05/1994

SOUTH RICHMOND SECURITIES, INC.

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Licenses & Designations

BC

Issued 06/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/10/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/17/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/01/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Erik Samuel Smith.
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