Stephen R. 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 R. Smith, who also goes by Stephen R Smith, Stephen Robert Smith, Stephen 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 10 firms and has passed the Series 66, Series 63, SIE, 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
November 10, 2014 - April 6, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 16, 2013 - April 6, 2016
BBVA SECURITIES INC.
March 8, 2013 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 6, 2012 - March 28, 2012
FOCUS PARTNERS WEALTH, LLC
April 6, 2011 - December 20, 2011
THE COLONY GROUP OF NAPLES, LLC
April 21, 2010 - December 20, 2011
THE COLONY GROUP, LLC
May 4, 2009 - January 25, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2009 - March 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2009 - January 25, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 3, 2007 - February 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2007 - February 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2002 - March 8, 2007
UST SECURITIES CORP.
March 24, 1995 - December 1, 2002
UST FINANCIAL SERVICES CORP.
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
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
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.
