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Katie Marie Smith

Pershing LLC

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About Katie Marie Smith

Katie Marie Smith is a registered representative with Pershing LLC and Pershing Advisor Solutions LLC. Katie has over 13 years of experience in the financial services industry and is licensed in Florida, New Jersey and New York. Katie is a Series 7, Series 24, Series 52TO and Series 63 licensed professional. Katie's current employment with Pershing Advisor Solutions LLC began on March 23, 2009. Katie's current employment with Pershing LLC began on November 10, 2021.

Firm Information

Katie Smith is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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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Katie Smith’s Registration & Firm History

FL

11/10/2021 - Present

Pershing LLC (LAKE MARY FL)

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Licenses & Designations

BC

Issued 04/24/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/29/2016

Series 24 - General Securities Principal Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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 Katie Marie Smith.
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