Steven E. Smith

CAPITAL RESEARCH ADVISORS

SUGAR HILL, GA 30518

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CRD#: 2089708

Professional summary

Steven Earl Smith is a registered financial advisor currently at CAPITAL RESEARCH ADVISORS, LLC located in Sugar Hill, Georgia and CEROS FINANCIAL SERVICES, INC. located in Suwanee, Georgia.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 6 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.

1)INSURANCE AGENT/SOLE PROPRIETOR WITH SMITH INVESTMENTS SINCE 08/2001. LOCATED IN BUTLER, GEORGIA. 5% OF HIS TIME IS DEDICATED TO THIS ACTIVITY, WHICH HE SELLS LIFE & P&C POLICIES. NOT INVESTMENT RELATED 2) INSURANCE AGENT WITH REYNOLDS INSURANCE, P O BOX 806 REYNOLDS, GA 31076; START DATE 7-2001; INSURANCE AGENCY SELLING PROPERTY AND CASUALTY AND SOME LIFE INVESTMENTS; 10 HOURS PER MONTH; 0 HOURS DURING TRADING DAY; NOT INVESTMENT RELATED; 3) CAPITAL RESEARCH ADVISORS; CAPITAL RESEARCH ADVISORS;4185 SILVER PEAK PARKWAY SUWANEE GA 30024; REP; 20 HOURS PER MONTH; 5 HOURS WEEK DURING TRADING HOURS; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Earl Smith's 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

December 14, 2004 - Present

CAPITAL RESEARCH ADVISORS, LLC

Office #1: 1400 Buford Hwy, Suite C-1, Sugar Hill, GA 30518

RIA

CRD#: 125621

SUGAR HILL, GA

Current

August 28, 2009 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 3011 Sutton Gate Drive 2nd Floor, Suite 240, Suwanee, GA 30024

CRD#: 37869

Suwanee, GA

Past

July 21, 2003 - August 31, 2009

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

BUFORD, GA

Past

March 4, 2003 - June 16, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

BUTLER, GA

Past

February 23, 2000 - June 16, 2003

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

November 12, 1990 - February 25, 2000

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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.

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

IAR

Georgia
(12/14/2004)

Georgia
(8/28/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/9/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/9/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL RESEARCH ADVISORS, LLC

CRD#: 125621 / SEC#: 801-65240

RIA

Registered Investment Advisory firm - (8/7/2019 Terminated)

Georgia

Registered Investment Advisory firm - (8/1/2019 Approved)

Texas

Registered Investment Advisory firm - (7/2/2019 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3011 Sutton Gate Drive Second Floor, Suite 240, Suwanee, GA 30024

Mailing Address

Phone number

(770) 925-1000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	225
AUM (Assets Under Management)	$ 78,735,225

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.

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Firm Stability Insights

Steven E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Earl Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CEROS FINANCIAL SERVICES, INC.

GUGGENHEIM DISTRIBUTORS, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 11/9/1990

FINRA

Current Firm

CAPITAL RESEARCH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL RESEARCH ADVISORS, LLC

TRUST BUT VERIFY

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