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SS

Steven Smith

TRANSAMERICA FINANCIAL ADVISORS
HOUSTON, TX 77040
Some features on this profile are disabled
CRD#: 2931644
SS

Professional summary

Steven Smith, who also goes by Steve D Smith, Steve Smith, Steven D Smith, Steven Smith, Steven David Smith, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Houston, Texas.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve D Smith | Steve Smith | Steven D Smith | Steven Smith | Steven David Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Glide Revitalization | Not investment-related | 301 Glide Loop Dr, Glide OR 97443 | Fire victim assistance. | Case manager | Start Date: 8/9/2021 | 120hr/mo-6hr During Trading | Assist fire victims with securing housing, clothing and medical needs. INFINITY FINANCIAL SERVICES, LLC/ NO/ 283 S Estella St. Glide, OR 97443/ THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS /OWNER/ 12/2020/0/0/ THIS IS A PASS THROUGH CO FOR TAX PURPOSES, NOT CUSTOMER FACING

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Smith's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 28, 2021 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 5300 Hollister Suite 543 A, Houston, TX 77040
RIA
BD
CRD#: 16164
HOUSTON, TX
Past

May 11, 2022 - May 9, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
PORTLAND, OR
Past

November 11, 2019 - April 14, 2021

NYLIFE SECURITIES LLC

BD
CRD#: 5167
GLIDE, OR
Past

June 4, 2015 - September 13, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ROSEBURG, OR
Past

September 3, 2014 - May 20, 2015

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

February 16, 2006 - April 20, 2010

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

September 12, 2000 - February 16, 2006

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

September 3, 1997 - June 25, 1999

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(10/26/2021)
RR
Oregon
(8/13/2021)
RR
Texas
(12/20/2024)
RR
Utah
(8/16/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/6/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/29/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/14/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/22/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)
TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

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.

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164Houston, TX 77040

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