Steven C. Smith

TRUIST ADVISORY SERVICES

GAINESVILLE, GA 30506

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CRD#: 2200772

Professional summary

Steven Cain Smith, who also goes by Steve Smith, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Gainesville, Georgia and TRUIST INVESTMENT SERVICES, INC. located in Buford, Georgia.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Smith

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 Cain 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

February 17, 2021 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 3640 Thompson Bridge Rd, Gainesville, GA 30506

RIA

CRD#: 283390

GAINESVILLE, GA

Current

February 17, 2021 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 4920 Lanier Islands Parkway, Buford, GA 30518Office #2: 4676 Hog Mountain Rd, Flowery Branch, GA 30542Office #3: 3725 Mundy Mill Rd, Oakwood, GA 30566Office #4: 355 Shallowford Rd Nw, Gainesville, GA 30504Office #5: 3640 Thompson Bridge Rd, Gainesville, GA 30506

CRD#: 17499

BUFORD, GA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

January 2, 2018 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

May 13, 2003 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

GAINESVILLE, GA

Past

May 8, 2002 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

GAINESVILLE, GA

Past

April 12, 2001 - July 16, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

March 18, 1996 - April 12, 2001

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

Past

November 21, 1995 - March 25, 1996

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 7, 1995 - November 22, 1995

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

March 9, 1995 - June 13, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 6, 1992 - March 30, 1995

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 6, 1992 - March 30, 1995

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 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.

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

Alabama
(2/17/2021)

California
(2/17/2021)

Colorado
(2/17/2021)

Delaware
(12/10/2024)

Florida
(2/17/2021)

Georgia
(2/17/2021)

IAR

Georgia
(2/17/2021)

Illinois
(2/17/2021)

Kentucky
(2/17/2021)

Maryland
(9/3/2024)

Montana
(2/17/2021)

New Jersey
(2/17/2021)

New York
(2/17/2021)

North Carolina
(2/17/2021)

Ohio
(2/17/2021)

Oregon
(2/17/2021)

Pennsylvania
(9/10/2021)

South Carolina
(2/17/2021)

Tennessee
(2/17/2021)

Texas
(2/17/2021)

Virginia
(2/17/2021)

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

IAR

Series 65

Date: 11/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/27/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

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Steven C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

MORGAN KEEGAN & COMPANY, LLC

REGIONS INVESTMENT COMPANY, INC.

CAPITAL BROKERAGE CORPORATION

NATIONWIDE SECURITIES, LLC

OSAIC WEALTH, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/1998

Series 63

Date: 1/3/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1996

Series 6

Date: 12/27/1991

FINRA

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Contact information

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