Steven L. 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 Lee Smith was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 7 firms and has passed the Series 65, Series 63, Series 7 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
December 3, 2008 - December 31, 2008
AWM SERVICES, LLC
October 4, 2005 - March 30, 2009
ARGENTUS SECURITIES, LLC
August 22, 2005 - October 4, 2005
RESOURCE HORIZONS GROUP LLC
July 25, 2005 - August 29, 2005
SILVER OAK SECURITIES, INCORPORATED
February 20, 2004 - July 1, 2004
QA3 FINANCIAL CORP.
April 6, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 6, 1992 - January 21, 2003
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
AWM SERVICES, LLC
CRD#: 6439 / SEC#: 801-61424, 8-17526
Contact information
Red Flags
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