Stephen A. 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.
Stephen Adam Smith was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 55 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
February 18, 2010 - September 6, 2016
TRADEWINDS GLOBAL INVESTORS, LLC
October 22, 2007 - October 4, 2012
NUVEEN SECURITIES, LLC
April 21, 1998 - May 23, 2006
MORGAN STANLEY & CO. LLC
February 2, 1998 - April 27, 1998
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
October 10, 1995 - October 14, 1997
NASH, WEISS & CO.
January 3, 1995 - July 26, 1995
UBS FINANCIAL SERVICES INC.
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
Series 55
Date: 11/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
TRADEWINDS GLOBAL INVESTORS, LLC
CRD#: 138476 / SEC#: 801-65208
Contact information
Red Flags
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