Stephen Joseph Smith
Professional Summary
Stephen Joseph Smith is a registered financial advisor currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York and CABOT LODGE SECURITIES LLC located in Albany, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 87, Series 7, Series 53, Series 4 and Series 24 exams.
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
43 years in the financial services industry
Current & Past Employments
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Current Firm
BROADSTONE SECURITIES | PKS SECURITIES, INC. | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.
Contact Information
Main Address
80 State Street, Albany, NY 12207Mailing Address
80 State Street, Albany, NY 12207Phone Number
(518) 436-3536Established
Michigan since 09/10/1999Firm 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
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2006About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Joseph Smith's CRS (Customer Relationship Summary).
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