Steven A. Smith
Professional summary
Steven Andrew Smith, who also goes by Steve Andrew Smith, Steve Smith, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Fishers, Indiana and TRANSAMERICA INVESTORS SECURITIES, LLC located in Equality, Alabama.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 31 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Andrew Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 22, 2022 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
February 17, 2022 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
December 5, 2016 - February 15, 2022
CLARENDON INSURANCE AGENCY, INC.
March 27, 2015 - August 4, 2015
UNITED CAPITAL FINANCIAL ADVISORS
September 11, 2012 - May 28, 2015
CS CAPITAL MANAGEMENT INC
June 8, 2011 - August 2, 2012
FIFTH THIRD SECURITIES, INC.
June 8, 2011 - August 2, 2012
FIFTH THIRD SECURITIES, INC.
November 30, 2009 - June 13, 2011
LPL FINANCIAL LLC
November 30, 2009 - June 13, 2011
LPL FINANCIAL LLC
November 9, 2009 - December 1, 2009
INVEST FINANCIAL CORPORATION
November 9, 2009 - December 1, 2009
INVEST FINANCIAL CORPORATION
January 11, 2008 - October 2, 2009
CHASE INVESTMENT SERVICES CORP.
December 14, 2005 - October 2, 2009
CHASE INVESTMENT SERVICES CORP.
August 10, 2000 - August 27, 2001
EQUITABLE ADVISORS, LLC
August 3, 1995 - August 31, 1998
CHARLES SCHWAB & CO., INC.
March 13, 1995 - August 11, 1995
TCF INVESTMENTS, INC.
April 15, 1994 - February 9, 1995
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2022)
(6/22/2022)
Exams
Series 8
Date: 2/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
