SMITH ASSET MANAGEMENT, INC.
CRD #43164 SEC #801-61886 NEW YORK, NY 212-812-9330
SEC Registered Broker-Dealer
Total AUM
$13M
Discretionary
$13M
Employees
10
Clients
0
Accounts
53
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 1, 2003
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ZIMETBAUM, SAMUEL | I | FIN & OPERATIONS PRINCIPAL | NA | |
| ZIMETBAUM, SAMUEL | I | FIN & OPERATIONS PRINCIPAL | NA | |
| ZIMETBAUM, SAMUEL | I | FIN & OPERATIONS PRINCIPAL | NA | |
| ZIMETBAUM, SAMUEL | I | FIN & OPERATIONS PRINCIPAL | NA | |
| SMITH, WILLIAM BLAINE | I | PRESIDENT | E | Control |
| SMITH, WILLIAM BLAINE | I | PRESIDENT | E | Control |
| SMITH, WILLIAM BLAINE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM BLAINE | I | PRESIDENT, CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Dec 1, 2003 REGISTERED
Notice Filings (1)
NY
Address
111 BROADWAY, SUITE 805NEW YORK, NY 10006
USA
Phone: 212-812-9330