Stephen H. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Hawthorne Smith, who also goes by Steve Smith, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 13 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2013 - March 1, 2018
PLANMEMBER SECURITIES CORPORATION
July 17, 2013 - March 1, 2018
PLANMEMBER SECURITIES CORPORATION
August 2, 2004 - July 19, 2013
WRP INVESTMENTS, INC.
August 2, 2004 - July 19, 2013
WRP INVESTMENTS, INC.
June 24, 2002 - August 4, 2004
MONEY CONCEPTS CAPITAL CORP
May 6, 2002 - August 4, 2004
MONEY CONCEPTS CAPITAL CORP
November 28, 2001 - May 2, 2002
FSC SECURITIES CORPORATION
July 31, 2001 - November 26, 2001
HIGH MARK SECURITIES, INC.
September 25, 1996 - August 1, 2001
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 19, 1994 - September 23, 1996
FSC SECURITIES CORPORATION
March 11, 1993 - September 2, 1994
FFP SECURITIES, INC.
May 5, 1992 - March 4, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 19, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 19, 1985 - May 15, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 19, 1985 - May 15, 1992
OSAIC FA, INC.
January 31, 1985 - August 5, 1985
NEW ENGLAND SECURITIES
June 7, 1984 - December 5, 1984
WADDELL & REED
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
