| Entity Name: | SMITH CAPITAL MARKETS, LLC |
| Jurisdiction: | Connecticut |
| Legal type: | LLC |
| Citizenship: | Domestic |
| Status: | Redomesticated |
| Date Formed: | 08 Jun 2001 (Companies founded in June 2001) |
| Business ALEI: | 0683428 |
| Annual report due: | 31 Mar 2014 |
| Business address: | 100 FIRST STAMFORD PLACE 6TH FLOOR EAST, STAMFORD, CT, 06902 |
| Mailing address: | 206 E. 9TH ST., STE. 1300, AUSTIN, TX, 78701-4411 |
| ZIP code: | 06902 (Companies in Fairfield, 06902) |
| County: | Fairfield |
| Place of Formation: | CONNECTICUT |
| E-Mail: | BSAVITZ@GREENWICHPRIME.COM |
| CIK number | Mailing Address | Business Address | Phone | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| 1175643 | 8333 DOUGLAS AVE., SUITE 1365, 6TH FLOOR, DALLAS, TX, 75225 | 8333 DOUGLAS AVE., SUITE 1365, 6TH FLOOR, DALLAS, TX, 75225 | 214-536-4008 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2024-03-04 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2023-03-23
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2023-03-23 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2023-03-10
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2023-03-10 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2022-02-22
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2022-02-22 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-02-22
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2022-02-22 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2021-02-05
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2021-02-05 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2021-02-05
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2021-02-05 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2020-02-27
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2020-02-27 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2020-02-27
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2020-02-27 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2019-02-26
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2019-02-26 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2019-02-26
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2019-02-26 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2018-03-01
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2018-03-01 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2018-03-01
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2018-03-01 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2017-02-28
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2017-02-28 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2017-02-28
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2017-02-28 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2015-02-27
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2015-02-27 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2015-02-27
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2015-02-27 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2014-02-28
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2014-02-28 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2014-02-28
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2014-02-28 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2013-03-01
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2013-03-01 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2013-03-01
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2013-03-01 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2012-02-29
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2012-02-29 |
| Reporting date | 2011-12-31 |
| File | View File |
Filings since 2012-02-29
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2012-02-29 |
| Reporting date | 2011-12-31 |
| File | View File |
Filings since 2011-02-28
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2011-02-28 |
| Reporting date | 2010-12-31 |
| File | View File |
Filings since 2011-02-28
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2011-02-28 |
| Reporting date | 2010-12-31 |
| File | View File |
Filings since 2011-02-22
| Form type | FOCUSN/A |
| File number | 008-65408 |
| Filing date | 2011-02-22 |
| Reporting date | 2010-12-31 |
| File | View File |
Filings since 2010-02-26
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2010-02-26 |
| Reporting date | 2009-12-31 |
| File | View File |
Filings since 2010-02-26
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2010-02-26 |
| Reporting date | 2009-12-31 |
| File | View File |
Filings since 2009-02-26
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2009-02-26 |
| Reporting date | 2008-12-31 |
| File | View File |
Filings since 2009-02-26
| Form type | FOCUSN |
| File number | 008-65408 |
| Filing date | 2009-02-26 |
| Reporting date | 2008-12-31 |
| File | View File |
Filings since 2008-03-31
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2008-03-31 |
| Reporting date | 2007-12-31 |
| File | View File |
Filings since 2007-04-02
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2007-04-02 |
| Reporting date | 2006-12-31 |
| File | View File |
Filings since 2006-03-29
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2006-03-29 |
| Reporting date | 2005-12-31 |
| File | View File |
Filings since 2005-03-01
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2005-03-01 |
| Reporting date | 2004-12-31 |
| File | View File |
Filings since 2004-03-03
| Form type | X-17A-5 |
| File number | 008-65408 |
| Filing date | 2004-03-03 |
| Reporting date | 2003-12-31 |
| File | View File |
| Plan Name | Plan Year | EIN/PN | Received | Sponsor | Total number of participants | |||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| GREENWICH PRIME TRADING GROUP LLC PROFIT SHARING PLAN | 2012 | 061623975 | 2013-07-11 | GREENWICH PRIME TRADING GROUP LLC | 6 | |||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||
| Role | Plan administrator |
| Date | 2013-07-11 |
| Name of individual signing | DEBRA NEWALLO |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2001-06-01 |
| Business code | 523900 |
| Sponsor’s telephone number | 2033884800 |
| Plan sponsor’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
Plan administrator’s name and address
| Administrator’s EIN | 061623975 |
| Plan administrator’s name | GREENWICH PRIME TRADING GROUP LLC |
| Plan administrator’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
| Administrator’s telephone number | 2033884800 |
Signature of
| Role | Plan administrator |
| Date | 2012-09-27 |
| Name of individual signing | DEBRA NEWALLO |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2001-06-01 |
| Business code | 523900 |
| Sponsor’s telephone number | 2033884800 |
| Plan sponsor’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
Plan administrator’s name and address
| Administrator’s EIN | 061623975 |
| Plan administrator’s name | GREENWICH PRIME TRADING GROUP LLC |
| Plan administrator’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
| Administrator’s telephone number | 2033884800 |
Signature of
| Role | Plan administrator |
| Date | 2011-10-06 |
| Name of individual signing | DEBRA NEWALLO |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 002 |
| Effective date of plan | 2001-06-01 |
| Business code | 523900 |
| Sponsor’s telephone number | 2033884800 |
| Plan sponsor’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
Plan administrator’s name and address
| Administrator’s EIN | 061623975 |
| Plan administrator’s name | GREENWICH PRIME TRADING GROUP LLC |
| Plan administrator’s address | 100 FIRST STAMFORD PLACE, 6 TH FLOOR, STAMFORD, CT, 06902 |
| Administrator’s telephone number | 2033884800 |
Signature of
| Role | Plan administrator |
| Date | 2010-10-07 |
| Name of individual signing | BARRY SAVITZ |
| Valid signature | Filed with authorized/valid electronic signature |
| Name | Role |
|---|---|
| CORPORATION SERVICE COMPANY | Agent |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| BARRY L. SAVITZ | Officer | 100 FIRST STAMFORD PLACE, 6TH FLOOR EAST, STAMFORD, CT, 06902, United States | 6 HORSESHOE HILL WEST, POUND RIDGE, NY, 10576, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | GREENWICH PRIME TRADING GROUP, LLC | SMITH CAPITAL MARKETS, LLC | 2018-07-18 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0010477187 | 2022-01-14 | 2022-01-14 | Mass Agent Change � Address | Agent Address Change | No data |
| 0006952529 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006946948 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006302088 | 2018-12-31 | 2018-12-31 | Domestication | Certificate of Domestication | No data |
| 0006218710 | 2018-07-18 | 2018-07-18 | Amendment | Amend Name | No data |
| 0004871756 | 2013-06-05 | No data | Annual Report | Annual Report | 2013 |
| 0004776849 | 2013-01-08 | No data | Annual Report | Annual Report | 2012 |
| 0004580447 | 2011-06-15 | No data | Annual Report | Annual Report | 2011 |
| 0004194157 | 2010-06-09 | No data | Annual Report | Annual Report | 2010 |
| 0003977825 | 2009-06-22 | No data | Annual Report | Annual Report | 2009 |
Date of last update: 18 Nov 2024
Sources: Connecticut's Official State Website
