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Thomas Cluley Smith

Interactive Brokers LLC

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About Thomas Cluley Smith

Thomas Cluley Smith is a registered representative with Interactive Brokers LLC. Thomas Cluley Smith has been in the securities industry since March 28, 2009. Thomas Cluley Smith has passed the Series 63, Series 65, Series 66, Series 7, and SIE exams. Thomas Cluley Smith was previously registered with John Nuveen & Co., Incorporated.

Firm Information

Thomas Smith is currently registered with Interactive Brokers LLC. Interactive Brokers LLC is a Limited Liability Company formed on March 9, 1998 and is approved to operate in all 50 U.S. states, the District of Columbia, Puerto Rico and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

175

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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Thomas Smith’s Registration & Firm History

IL

05/18/2011 - Present

Interactive Brokers LLC (CHICAGO IL)

IL

06/21/1994 - 08/08/1996

JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 05/31/2012

Series 66 - Uniform Combined State Law Examination

IA

Issued 04/30/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/19/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

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 Thomas Cluley Smith.
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