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Lincoln Joseph Smith

Sutter Securities Inc.

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About Lincoln Joseph Smith

Lincoln Smith is a financial professional based in Irvine, CA. Lincoln has been active in the financial industry since 1999. Lincoln is a registered representative of Sutter Securities Inc. and Boustead Securities, LLC. Lincoln has experience in various areas of finance, including municipal securities, equity trading, and general securities.

Firm Information

Lincoln Smith is currently registered with Sutter Securities Inc.. Sutter Securities Inc. is a corporation that was formed on July 22, 1992. They are registered in all 50 states and with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

25

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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Lincoln Smith’s Registration & Firm History

CA

03/27/2020 - Present

Sutter Securities Inc. (Irvine CA)

NY

01/27/2016 - 05/09/2019

MLV & CO. LLC (NEW YORK NY)

CA

08/23/1999 - 05/09/2019

B. RILEY FBR, INC. (Newport Beach CA)

CA

06/28/2017 - 11/30/2017

B. RILEY & CO., LLC (LOS ANGELES CA)

VA

10/29/2012 - 03/15/2013

FBR INVESTMENT SERVICES, INC. (ARLINGTON VA)

DC

08/08/1997 - 06/19/1998

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED (WASHINGTON DC)

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Licenses & Designations

BC

Issued 02/03/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/28/2001

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/22/1999

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/14/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/07/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lincoln Joseph Smith.
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