Steven E. 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 Earl Smith, who also goes by Steve 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 11 firms and has passed the 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
October 25, 2021 - April 22, 2022
OSAIC INSTITUTIONS, INC.
November 9, 2018 - October 31, 2019
OSAIC INSTITUTIONS, INC.
January 21, 2015 - November 21, 2016
OSAIC INSTITUTIONS, INC.
March 23, 2011 - August 2, 2013
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 10, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
May 30, 2008 - November 14, 2008
FIRST ALLIED SECURITIES, INC.
October 31, 2007 - May 30, 2008
FFP SECURITIES, INC.
July 28, 2005 - October 26, 2005
B. RILEY WEALTH MANAGEMENT
May 17, 2001 - August 15, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - July 29, 2005
WELLS FARGO INVESTMENTS, LLC
October 12, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
November 28, 1997 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 2, 1993 - November 5, 1997
MORGAN KEEGAN & COMPANY, LLC
June 22, 1992 - August 2, 1993
CAPITOL SECURITIES GROUP, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
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.
