Sterling Richard Smith
Professional Summary
Sterling Richard Smith is a registered financial advisor currently at STERLING SMITH CORPORATION located in Houston, Texas. Sterling is registered as a RR (Registered Representative) and started their career in finance in 1982. Sterling has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 72, Series 52TO, SIE, Series 15, Series 5, Series 7, Series 3, Series 9, Series 14, Series 10, Series 27, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
STERLING SMITH CORPORATION
Contact Information
Main Address
4326a Scotland, Houston, TX 77007Mailing Address
4326a Scotland, Houston, TX 77007Phone Number
(713) 861-6500Established
Texas since 01/25/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH, STERLING RICHARD | PRESIDENT/DIRECTOR/CO/IBDP/CCO/CFO/F&O PRINCIPAL/OP PROF/PFO/POO/IBP/FI | 1008425 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(2/28/1995)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 72 — Government Securities Representative Examination
Passed Jan 2023Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 15 — Foreign Currency Options Examination
Passed May 1983Series 5 — Interest Rate Options Examination
Passed Mar 1982Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 1995About the Series 28 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Sep 1992SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sterling Richard Smith's CRS (Customer Relationship Summary).
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