Steven S. 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 Scott Smith, who also goes by Steve S Smith, Steve Scott Smith, Steve Smith, Steven S Smith, Steven Smith, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - May 25, 2021
J.P. MORGAN SECURITIES LLC
July 25, 2018 - May 25, 2021
J.P. MORGAN SECURITIES LLC
August 24, 2016 - April 16, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 17, 2016 - April 16, 2018
TD AMERITRADE, INC.
August 16, 2016 - April 16, 2018
TD AMERITRADE, INC.
June 4, 2013 - February 4, 2016
MUTUAL SECURITIES, INC.
May 13, 2013 - August 17, 2016
PLATINUM WEALTH PARTNERS
July 12, 2011 - April 29, 2013
MORGAN STANLEY
July 11, 2011 - April 29, 2013
MORGAN STANLEY
March 2, 2010 - July 20, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 18, 2009 - July 20, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 16, 1993 - August 29, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 23, 1993 - April 16, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 1993 - March 19, 1993
WOODBURY FINANCIAL SERVICES, INC.
September 11, 1991 - March 10, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
