Steven M. Smith

REGAL ADVISORY SERVICES

LITTLE ROCK, AR 72205

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CRD#: 1176036

Professional summary

Steven Maier Smith is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Little Rock, Arkansas and REGAL SECURITIES, INC. located in Glenview, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Steven Maier Smith's CRS (Customer Relationship Summary).

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

July 25, 2007 - Present

REGAL ADVISORY SERVICES, INC.

Office #1: 2725 Cantrell Rd Ste 201, Little Rock, AR 72205

RIA

CRD#: 123842

LITTLE ROCK, AR

Current

June 28, 2007 - Present

REGAL SECURITIES, INC.

Office #1: 950 Milwaukee Ave. Suite 102, Glenview, IL 60025

CRD#: 7297

GLENVIEW, IL

Past

March 10, 2003 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

LITTLE ROCK, AR

Past

January 29, 2003 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

LITTLE ROCK, AR

Past

August 4, 1997 - February 3, 2003

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

LITTLE ROCK, AR

Past

May 8, 1989 - February 3, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

September 17, 1983 - May 8, 1989

T. J. RANEY & SONS, INC.

CRD#: 3128

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".

REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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
(7/21/2015)

Arizona
(9/8/2020)

Arkansas
(6/28/2007)

IAR

Arkansas
(7/25/2007)

California
(5/27/2009)

Colorado
(2/23/2022)

Louisiana
(6/28/2007)

Mississippi
(4/27/2015)

Montana
(5/21/2024)

Texas
(6/28/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/8/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

REGAL ADVISORY SERVICES, INC.

CRD#: 123842 / SEC#: 801-71619

RIA

Registered Investment Advisory firm - (7/12/2010 Approved)

Arizona

Registered Investment Advisory firm - (8/14/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Colorado

Registered Investment Advisory firm - (8/2/2010 Terminated)

Connecticut

Registered Investment Advisory firm - (7/13/2010 Terminated)

Delaware

Registered Investment Advisory firm - (7/13/2010 Terminated)

Florida

Registered Investment Advisory firm - (8/14/2012 Terminated)

Georgia

Registered Investment Advisory firm - (9/24/2010 Terminated)

Hawaii

Registered Investment Advisory firm - (12/31/2010 Terminated)

Idaho

Registered Investment Advisory firm - (7/14/2010 Terminated)

Illinois

Registered Investment Advisory firm - (8/14/2012 Terminated)

Indiana

Registered Investment Advisory firm - (7/13/2010 Terminated)

Iowa

Registered Investment Advisory firm - (7/13/2010 Terminated)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (7/13/2010 Terminated)

Louisiana

Registered Investment Advisory firm - (7/21/2010 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/3/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/14/2010 Terminated)

Mississippi

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (7/13/2010 Terminated)

Nebraska

Registered Investment Advisory firm - (7/14/2010 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2012 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/13/2010 Terminated)

New Jersey

Registered Investment Advisory firm - (9/21/2012 Terminated)

New Mexico

Registered Investment Advisory firm - (7/13/2010 Terminated)

North Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Ohio

Registered Investment Advisory firm - (7/13/2010 Terminated)

Oklahoma

Registered Investment Advisory firm - (8/14/2012 Terminated)

Oregon

Registered Investment Advisory firm - (7/15/2010 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/14/2010 Terminated)

South Carolina

Registered Investment Advisory firm - (7/13/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (8/12/2010 Terminated)

Texas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Utah

Registered Investment Advisory firm - (8/12/2010 Terminated)

Vermont

Registered Investment Advisory firm - (8/14/2012 Terminated)

Virginia

Registered Investment Advisory firm - (7/13/2010 Terminated)

Washington

Registered Investment Advisory firm - (7/16/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/13/2010 Terminated)

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Contact information

Main Address

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771

Mailing Address

Phone number

(877) 488-6537

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts	289
AUM (Assets Under Management)	$ 113,536,443

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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Steven M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Maier Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGAL SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

T. J. RANEY & SONS, INC.

Primary Firm SEC Registration

REGAL ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1994

Series 63

Date: 8/31/1983

SIE

Date: 10/1/2018

Series 3

Date: 8/8/1986

Series 7

Date: 8/20/1983

FINRA

Nasdaq Stock Market

Current Firm

REGAL ADVISORY SERVICES, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGAL ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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