Stephen J. Smith

PURSHE KAPLAN STERLING INVESTMENTS

ALBANY, NY 12207

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CRD#: 1123669

Professional summary

Stephen Joseph Smith is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Joseph Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 4, 2012 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 80 State Street, Albany, NY 12207

CRD#: 35747

ALBANY, NY

Current

August 6, 2019 - Present

CABOT LODGE SECURITIES LLC

Office #1: 80 State Street Mailbox 21, Albany, NY 12207

CRD#: 159712

Albany, NY

Current

December 7, 2020 - Present

BROADSTONE SECURITIES

Office #1: 80 State Street, Albany, NY 12207

CRD#: 101600

Albany, NY

Past

January 25, 2010 - April 18, 2012

HALLIDAY FINANCIAL, LLC

CRD#: 31741

ALBANY, NY

Past

January 4, 2002 - December 31, 2009

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

September 28, 2000 - December 5, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 13, 1999 - September 22, 2000

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 24, 1999 - October 25, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 30, 1995 - March 25, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 1, 1989 - November 9, 1995

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

May 14, 1988 - October 25, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

June 16, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 23, 1984 - July 9, 1985

SUSSEX SECURITIES INCORPORATED

CRD#: 13596

Past

June 22, 1983 - October 8, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/14/2019)

Alaska
(8/14/2019)

Arizona
(8/14/2019)

Arkansas
(8/14/2019)

California
(8/14/2019)

Colorado
(8/14/2019)

Connecticut
(8/14/2019)

Delaware
(8/14/2019)

District of Columbia
(8/14/2019)

Florida
(11/18/2014)

Georgia
(8/14/2019)

Hawaii
(8/14/2019)

Idaho
(8/14/2019)

Illinois
(8/14/2019)

Indiana
(8/14/2019)

Iowa
(8/14/2019)

Kansas
(8/14/2019)

Kentucky
(8/14/2019)

Louisiana
(8/14/2019)

Maine
(8/14/2019)

Maryland
(8/14/2019)

Massachusetts
(9/14/2018)

Michigan
(8/14/2019)

Minnesota
(11/9/2021)

Mississippi
(8/14/2019)

Missouri
(8/14/2019)

Montana
(8/14/2019)

Nebraska
(8/14/2019)

Nevada
(8/14/2019)

New Hampshire
(8/14/2019)

New Jersey
(8/14/2019)

New Mexico
(8/14/2019)

New York
(5/4/2012)

North Carolina
(8/14/2019)

North Dakota
(8/14/2019)

Ohio
(8/14/2019)

Oklahoma
(8/14/2019)

Oregon
(8/14/2019)

Pennsylvania
(8/14/2019)

Rhode Island
(8/14/2019)

South Carolina
(8/14/2019)

South Dakota
(8/14/2019)

Tennessee
(8/14/2019)

Texas
(6/18/2012)

Utah
(8/14/2019)

Vermont
(8/14/2019)

Virginia
(8/14/2019)

Washington
(8/14/2019)

West Virginia
(8/14/2019)

Wisconsin
(8/14/2019)

Wyoming
(8/14/2019)

Exams

State Security Law Exam

Series 63

Date: 11/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 8/18/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/31/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/29/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROADSTONE SECURITIES

BROADSTONE SECURITIES | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.

CRD#: 101600 / SEC#: , 8-52094

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

Michigan since 09/10/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
WENTWORTH MANAGEMENT SERVICES, LLC	HOLDING COMPANY
BOHLEY, TRACEY LEA	FINOP, CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	CEO/CCO	4405001

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Joseph Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

BROADSTONE SECURITIES

HALLIDAY FINANCIAL, LLC

MCGINN, SMITH & CO., INC.

A. G. EDWARDS & SONS, INC.

GLEACHER & COMPANY SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MCGINN, SMITH & CO., INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

SUSSEX SECURITIES INCORPORATED

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/10/1987

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 8/18/2006

Series 7

Date: 6/18/1983

Series 53

Date: 10/31/2012

Series 4

Date: 7/29/2010

Series 24

Date: 12/14/2005

FINRA

Current Firm

BROADSTONE SECURITIES

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROADSTONE SECURITIES

TRUST BUT VERIFY

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