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 Howard Smith JR, who also goes by Howard Smith, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
September 3, 2015 - May 13, 2021
CAPITAL ANALYSTS
August 23, 2011 - May 13, 2021
LINCOLN INVESTMENT
August 2, 2010 - May 13, 2021
LINCOLN INVESTMENT
February 6, 1998 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 12, 1993 - February 18, 1998
AEGON USA SECURITIES INC.
June 21, 1990 - April 8, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 13, 1990 - July 18, 1990
AEGON USA SECURITIES INC.
May 31, 1988 - January 16, 1990
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
