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SS

Steven B. Smith

THE AMERIFLEX GROUP
Mahwah, NJ 07430
Some features on this profile are disabled
CRD#: 1915043
SS

Professional summary

Steven Brian Smith is a registered financial advisor currently at THE AMERIFLEX GROUP located in Mahwah, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Mahwah, New Jersey.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Steven has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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 Brian 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

March 31, 2026 - Present

THE AMERIFLEX GROUP

Office #1: 116 Ramapo Valley, Mahwah, NJ 07430
RIA
CRD#: 305585
Mahwah, NJ
Current

March 31, 2026 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 116 Ramapo Valley Rd. , Mahwah, NJ 07430
BD
CRD#: 39543
Mahwah, NJ
Past

July 10, 2025 - April 27, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
MAHWAH, NJ
Past

July 10, 2025 - April 27, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
MAHWAH, NJ
Past

January 18, 2018 - July 10, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
NEW PALTZ, NY
Past

January 16, 2018 - July 10, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
NEW PALTZ, NY
Past

April 4, 1997 - February 8, 2018

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
COTTAGE, NY
Past

March 22, 1995 - April 9, 1997

JARON EQUITIES CORP.

BD
CRD#: 5764
HICKSVILLE, NY
Past

January 26, 1995 - March 31, 1995

CHEMICAL INVESTMENT SERVICES CORP.

BD
CRD#: 36312
Past

June 1, 1992 - January 24, 1995

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

August 23, 1991 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675
Past

July 18, 1989 - July 1, 1991

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 18, 1989 - July 1, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 14, 1989 - June 27, 1989

CHARTERED FINANCIAL CONSULTANTS, LTD.

BD
CRD#: 13465

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".
TA
THE AMERIFLEX GROUP
A.M. FINANCIAL GROUP | UNDERHILL FINANCIAL ADVISORS, LLC | TURNING POINTE WEALTH MANAGEMENT | TRUSTED FINANCIAL ADVISORS | TRAILHEAD FINANCIAL GROUP | THE STRAUB GROUP ADVANTAGE | THE PLATINUM WEALTH GROUP | THE MECKENSTOCK GROUP, INC. | THE AMERIFLEX GROUP, INC. | THE AMERIFLEX GROUP | SUMMIT FINANCIAL & INSURANCE SERVICES | STRATEGIC LEGACY WEALTH MANAGEMENT | SHEPHERD LEGACY | SEVEN HILL WEALTH PLANNING | SCOTT HARRIS FINANCIAL GROUP | RS ADVISORS | ROZELL WEALTH MANAGEMENT | RETIREMENT SOLUTIONS, INC. | PRONGHORN WEALTH | PLANNING RESOURCES, INC. | PINNACLE FINANCIAL ADVISORS | PILKINGTON FINANCIAL GROUP | PERFECTED WEALTH MANAGEMENT | PEAK FINANCIAL SOLUTIONS | PATHWAY FINANCIAL SERVICES, INC. | PAJAK FINANCIAL SERVICES | ONE VISION FINANCIAL | NOW FINANCIAL | NEWCASTLE FINANCIAL ADVISORS | MONARCH WEALTH STRATEGIES | MOMENTUM FINANCIAL PARTNERS, LLC | MD BROWN FINANCIAL | MCCONNELL WEALTH PARTNERS, LLP | MBA CAPITAL ADVISORS | MARKLAND WEALTH MANAGEMENT, INC. | MANCUSO WEALTH MANAGEMENT | MAES FINANCIAL | LUTZ WEALTH ADVISORS | LEIGH WEALTH MANAGEMENT GROUP | KNOX GROVE FINANCIAL LLC | KAUTZ/BUCKLEY | INTUITIVE SOLUTIONS INSURANCE & WEALTH STRATEGIES | INSIGHT FINANCIAL GROUP | HOLLAND FINANCIAL INC. | GREAT FUTURES | FOURFRONT WEALTH MANAGEMENT | FINANCIAL TRANSITION PARTNERS | ERSI WEALTH MANAGEMENT | EPIC HOLISTIC PARTNERS | ENVISION FINANCIAL PARTNERS | DJH FINANCIAL SERVICES | CURO FINANCIAL & INSURANCE SOLUTIONS | CS FINANCIAL SERVICES, LLC | COONEY ASSOCIATES | COHESION WEALTH ADVISORS | CHARLES STEPHEN AND COMPANY, INC. | BRUCO INVESTMENT GROUP | BRIDGES WEALTH MANAGEMENT | BESSELMAN WEALTH PLANNER | BECKER WEALTH MANAGEMENT | BARTON FINANCIAL SERVICES, INC. | BALLEK WEALTH MANAGEMENT | B P FINANCIAL SERVICES, INC. | ANDERSON FINANCIAL SOLUTIONS & INSURANCE SERVICES | AMERIFLEX FINANCIAL SERVICES | AMENITY WEALTH

CRD#: 305585 / SEC#: 801-117784

RIA
Registered Investment Advisory firm - (12/13/2019 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.
RR
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

RR
California
(3/31/2026)
RR
Connecticut
(3/31/2026)
RR
Florida
(3/31/2026)
RR
Georgia
(3/31/2026)
RR
Massachusetts
(3/31/2026)
RR
New Jersey
(3/31/2026)
IAR
New Jersey
(3/31/2026)
RR
New York
(3/31/2026)
IAR
New York
(3/31/2026)
RR
North Carolina
(3/31/2026)
RR
South Carolina
(3/31/2026)
RR
Virginia
(3/31/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/20/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/23/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
THE AMERIFLEX GROUP
A.M. FINANCIAL GROUP | UNDERHILL FINANCIAL ADVISORS, LLC | TURNING POINTE WEALTH MANAGEMENT | TRUSTED FINANCIAL ADVISORS | TRAILHEAD FINANCIAL GROUP | THE STRAUB GROUP ADVANTAGE | THE PLATINUM WEALTH GROUP | THE MECKENSTOCK GROUP, INC. | THE AMERIFLEX GROUP, INC. | THE AMERIFLEX GROUP | SUMMIT FINANCIAL & INSURANCE SERVICES | STRATEGIC LEGACY WEALTH MANAGEMENT | SHEPHERD LEGACY | SEVEN HILL WEALTH PLANNING | SCOTT HARRIS FINANCIAL GROUP | RS ADVISORS | ROZELL WEALTH MANAGEMENT | RETIREMENT SOLUTIONS, INC. | PRONGHORN WEALTH | PLANNING RESOURCES, INC. | PINNACLE FINANCIAL ADVISORS | PILKINGTON FINANCIAL GROUP | PERFECTED WEALTH MANAGEMENT | PEAK FINANCIAL SOLUTIONS | PATHWAY FINANCIAL SERVICES, INC. | PAJAK FINANCIAL SERVICES | ONE VISION FINANCIAL | NOW FINANCIAL | NEWCASTLE FINANCIAL ADVISORS | MONARCH WEALTH STRATEGIES | MOMENTUM FINANCIAL PARTNERS, LLC | MD BROWN FINANCIAL | MCCONNELL WEALTH PARTNERS, LLP | MBA CAPITAL ADVISORS | MARKLAND WEALTH MANAGEMENT, INC. | MANCUSO WEALTH MANAGEMENT | MAES FINANCIAL | LUTZ WEALTH ADVISORS | LEIGH WEALTH MANAGEMENT GROUP | KNOX GROVE FINANCIAL LLC | KAUTZ/BUCKLEY | INTUITIVE SOLUTIONS INSURANCE & WEALTH STRATEGIES | INSIGHT FINANCIAL GROUP | HOLLAND FINANCIAL INC. | GREAT FUTURES | FOURFRONT WEALTH MANAGEMENT | FINANCIAL TRANSITION PARTNERS | ERSI WEALTH MANAGEMENT | EPIC HOLISTIC PARTNERS | ENVISION FINANCIAL PARTNERS | DJH FINANCIAL SERVICES | CURO FINANCIAL & INSURANCE SOLUTIONS | CS FINANCIAL SERVICES, LLC | COONEY ASSOCIATES | COHESION WEALTH ADVISORS | CHARLES STEPHEN AND COMPANY, INC. | BRUCO INVESTMENT GROUP | BRIDGES WEALTH MANAGEMENT | BESSELMAN WEALTH PLANNER | BECKER WEALTH MANAGEMENT | BARTON FINANCIAL SERVICES, INC. | BALLEK WEALTH MANAGEMENT | B P FINANCIAL SERVICES, INC. | ANDERSON FINANCIAL SOLUTIONS & INSURANCE SERVICES | AMERIFLEX FINANCIAL SERVICES | AMENITY WEALTH

CRD#: 305585 / SEC#: 801-117784

RIA
Registered Investment Advisory firm - (12/13/2019 Approved)
PREMIUM
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Contact information

Main Address
8475 W. Sunset Road, Suite 101, Las Vegas, NV 89113
Mailing Address
Phone number
(702) 987-9730
Established
Firm type
Fiscal year end
# of Employees
166

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts34,131
AUM (Assets Under Management)$ 9,355,813,271

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.

Company Information

THE AMERIFLEX GROUP

CRD#: 305585Mahwah, NJ 07430

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