Steven A. 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.
Steven Allan Smith was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 17 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2010 - December 15, 2014
DISTRIBUTION SERVICES, LLC
February 12, 2003 - September 10, 2008
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 12, 2002 - November 13, 2002
TRINITY DISTRIBUTORS LLC
December 22, 2000 - April 2, 2002
STERLING CAPITAL DISTRIBUTORS, LLC
February 28, 2000 - December 31, 2000
FORESIDE FUNDS DISTRIBUTORS LLC
February 9, 1996 - November 20, 1998
JONES, BYRD, & ATTKISSON, INC.
February 9, 1996 - November 20, 1998
FORESIDE DISTRIBUTION SERVICES, L.P.
February 1, 1996 - November 20, 1998
BISYS SHELF B/D (1), INC.
February 1, 1996 - November 20, 1998
FTFD FUND DISTRIBUTOR, INC.
January 31, 1996 - November 20, 1998
PROFUNDS DISTRIBUTORS, INC.
January 31, 1996 - November 20, 1998
BD COMPLIANCE SOLUTIONS, LLC
October 28, 1993 - December 31, 1996
WILLAMETTE SECURITIES, INC.
November 17, 1992 - August 31, 1993
SELECTED FINANCIAL SERVICES, INC.
September 4, 1990 - October 29, 1992
WELLS FARGO CLEARING SERVICES, LLC
March 5, 1990 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
July 13, 1989 - March 27, 1990
MORGAN STANLEY DW INC.
August 20, 1985 - August 14, 1989
BALCOR SECURITIES COMPANY
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
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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