Steven W. 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 Wayne Smith, who also goes by Steve Wayne Smith, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, SIE 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
February 4, 2020 - March 23, 2023
LPL FINANCIAL LLC
November 5, 2019 - February 22, 2023
GLOBAL RETIREMENT PARTNERS LLC
February 23, 2017 - August 6, 2018
GLOBAL RETIREMENT PARTNERS LLC
October 29, 2015 - May 31, 2016
CAPFINANCIAL SECURITIES, LLC.
October 27, 2015 - May 31, 2016
WORLD INVESTMENT ADVISORS, LLC
July 15, 2014 - August 19, 2015
KESTRA INVESTMENT SERVICES, LLC
August 27, 2010 - August 19, 2015
KESTRA INVESTMENT SERVICES, LLC
November 20, 2006 - November 4, 2009
TRANSAMERICA INVESTORS SECURITIES, LLC
July 14, 2006 - September 25, 2006
MML INVESTORS SERVICES, LLC
March 3, 2005 - May 3, 2006
STANCORP INVESTMENT ADVISERS, INC.
January 24, 2005 - April 11, 2006
STANCORP EQUITIES, INC.
November 19, 2003 - January 22, 2004
NYLIFE DISTRIBUTORS LLC
April 28, 2003 - December 31, 2003
PAN-AMERICAN FINANCIAL ADVISERS
September 21, 2000 - June 18, 2001
PARK AVENUE SECURITIES LLC
November 7, 1997 - November 5, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1996 - August 29, 1997
BLACKROCK EXECUTION SERVICES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 6TO
Date: 2/4/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
