SS
Steven R. Smith
WEALTH ADVISORY SOLUTIONS
Zionsville, IN 46077
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CRD#: 1160933
SS
Professional summary
Steven Richard Smith, who also goes by Steve Richard Smith, is a registered financial advisor currently at WEALTH ADVISORY SOLUTIONS, LLC located in Zionsville, Indiana.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Richard Smith
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.
1. LIVINGSTON PARK, LLC; INVESTMENT RELATED; ELLETTSVILLE, IN; LLC FOR RENTAL PROPERTY; 100% OWNERSHIP WITH SPOUSE; START DATE = 08/01/13; 1-5 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS.- 2. RED HILL PROPERTIES, LLC; INVESTMENT RELATED; ELLETTSVILLE, IN; LLC FOR RENTAL PROPERTY; 100% OWNERSHIP WITH SPOUSE; START DATE = 08/15/13; 1-5 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS. 3. SANDJ'S TOYS LLC; NOT INVESTMENT RELATED; ZIONVILLE, IN; BUY AND SELL HISTORIC CARS; CO-OWNER; START DATE 10/2013; 5 HRS PER MONTH; 0 HRS DURING TRADING. 4. DEER FOREST LLC; NON-INV; ELLETTSVILLE, IN; 100% OWNERSHIP WITH SPOUSE; GROWING TIMBER; START: 08/20/2013; HOURS: 10 PER MONTH - 0 DURING TRADING; DUTIES: PLANT TREES. 5. MONUMENT GROUP WEALTH LLC; INV. RELATED; INDIANAPOLIS, IN; 100% OWNERSHIP; FEE ONLY RIA PILOT; START DATE 5/2019; 200 HRS PER MONTH; 130 HRS DURING TRADING; INVESTMENT REPRESENTATIVE OF FEE ONLY RIA.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Richard 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®
NoneExperience
Current
September 30, 2019 - Present
WEALTH ADVISORY SOLUTIONS, LLC
Office #1: 1630 West Oak Street, Zionsville, IN 46077RIA
CRD#: 288903
Zionsville, IN
Past
April 16, 2009 - November 18, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INDIANAPOLIS, IN
Past
April 16, 2009 - November 18, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INDIANAPOLIS, IN
Past
May 5, 2006 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
INDIANAPOLIS, IN
Past
May 5, 2006 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
INDIANAPOLIS, IN
Past
February 10, 2000 - May 25, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
INDIANAPOLIS, IN
Past
November 16, 1993 - May 25, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 2, 1987 - November 17, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 18, 1986 - May 29, 1987
DASEKE & CO., INC.
BD
CRD#: 6582
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WEALTH ADVISORY SOLUTIONS, LLC
CEDAR WEALTH PARTNERS | WEALTH ADVISORY SOLUTIONS, LLC | THE MONUMENT CIRCLE GROUP | INTELLIGENT DESIGN ADVISORS, LLC | HOBBS WEALTH MANAGEMENT | ENVISION RIA | ENCIRCLE FINANCIAL STRATEGIES | DELTA WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL PLANNING SERVICES
CRD#: 288903 / SEC#: 801-110859
RIA
Registered Investment Advisory firm - (7/21/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Indiana(9/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WA
WEALTH ADVISORY SOLUTIONS, LLC
CEDAR WEALTH PARTNERS | WEALTH ADVISORY SOLUTIONS, LLC | THE MONUMENT CIRCLE GROUP | INTELLIGENT DESIGN ADVISORS, LLC | HOBBS WEALTH MANAGEMENT | ENVISION RIA | ENCIRCLE FINANCIAL STRATEGIES | DELTA WEALTH ADVISORS, LLC | COMPREHENSIVE FINANCIAL PLANNING SERVICES
CRD#: 288903 / SEC#: 801-110859
RIA
Registered Investment Advisory firm - (7/21/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1630 W Oak St Suite 201, Zionsville, IN 46077
Mailing Address
Phone number
(317) 559-0688
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,723 |
| AUM (Assets Under Management) | $ 560,401,982 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
