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Laurence Joseph Smith

Harris Williams

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About Laurence Joseph Smith

Laurence Smith is a financial professional with over 20 years of experience in the industry. Laurence is currently a Registered Representative with Harris Williams. Previously, Laurence worked at SIXPOINT PARTNERS LLC, BANC ONE CAPITAL MARKETS, INC., BEAR, STEARNS & CO. INC., and CAL FP (US), INC. Laurence holds a number of licenses and certifications, including Series 7, Series 24, Series 63, Series 79TO, Series 99TO, and SIE. Laurence is registered to offer securities in 38 states and is a member of FINRA.

Firm Information

Laurence Smith is currently registered with Harris Williams. Harris Williams is a Limited Liability Company that was formed in 2006. The firm is registered in 38 states and is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

270

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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Laurence Smith’s Registration & Firm History

NY

04/27/2023 - Present

Harris Williams (New York NY)

NY

08/08/2008 - 08/04/2023

SIXPOINT PARTNERS LLC (NEW YORK NY)

IL

07/12/2001 - 03/03/2003

BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)

NY

06/10/1999 - 06/19/2001

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

02/13/1996 - 06/11/1999

CAL FP (US), INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/21/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/21/2008

Series 24 - General Securities Principal Examination

BC

Issued 05/09/1996

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2008

Series 7 - General Securities Representative Examination

BC

Issued 11/07/1995

Series 17 - Limited Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Laurence Joseph Smith.
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