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Stephen Jared Smigel

Newmark Securities, LLC

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About Stephen Jared Smigel

Stephen Smigel is an investment professional with over 20 years of experience in the financial services industry. Stephen is currently registered with Newmark Securities, LLC and has previously held roles at Cantor Fitzgerald & Co., MUFG Securities Americas Inc., RBS Securities Inc., and Stormharbour Securities LP. Stephen holds a variety of licenses, including Series 3, 7, 24, 55, 57TO, 62, 63, and 79TO. Stephen is also registered in California, Georgia, Massachusetts, and New York.

Firm Information

Stephen Smigel is currently registered with Newmark Securities, LLC. Newmark Securities, LLC is a Limited Liability Company formed on April 17, 2020. The firm is registered in California, Georgia, Massachusetts, and New York and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

18

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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Stephen Smigel’s Registration & Firm History

NY

04/08/2021 - Present

Newmark Securities, LLC (NEW YORK NY)

NY

03/19/2020 - 06/11/2021

CANTOR FITZGERALD & CO. (NEW YORK NY)

NY

08/19/2013 - 04/27/2018

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

CT

07/19/2010 - 08/16/2013

RBS SECURITIES INC. (STAMFORD CT)

NY

10/12/2009 - 07/09/2010

STORMHARBOUR SECURITIES LP (NEW YORK NY)

NY

10/14/1997 - 02/09/2009

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/15/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/27/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 04/27/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/20/1997

Series 3 - National Commodity Futures Examination

BC

Issued 10/13/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Jared Smigel.
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