MS
Martin J. Smith
STEELE CAPITAL MANAGEMENT
WEST DES MOINES, IA 50266
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CRD#: 3133737
MS
Professional summary
Martin John Smith, who also goes by Marty Smith, is a registered financial advisor currently at STEELE CAPITAL MANAGEMENT, INC. located in West Des Moines, Iowa.
Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Martin has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marty 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.
Tenth Avenue, LLC dba Night Shift Commercial Cleaning; not investment related; 206 SW Linden Street, Ankeny, IA 50023; commercial cleaning business; Partner; started 6-15-20; 10 hours per month outside of trading hours; duties are oversight as a passive owner. JMR Holdings, LLC; not investment related; 206 SW Linden Street, Ankeny, IA 50023; commercial cleaning business; Partner; started 11-2023; 0 hours per month outside of trading hours; duties are oversight as a passive owner.
CRS (Client Relationship Summary) - RIA
Click below to view Martin John Smith's 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®
NoneExperience
Current
July 14, 2004 - Present
STEELE CAPITAL MANAGEMENT, INC.
Office #1: West Glen Town Center 5550 Wild Rose Lane # 400, West Des Moines, IA 50266RIA
CRD#: 107097
WEST DES MOINES, IA
Past
October 1, 2009 - November 23, 2010
MONTICELLO INVESTMENT SERVICES, INC.
RIA
CRD#: 140851
NEOSHO, MO
Past
April 22, 2005 - December 13, 2006
PREMIER EQUITY GROUP, LLC
RIA
CRD#: 134564
WEST DES MOINES, IA
Past
December 21, 2001 - September 30, 2003
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
February 15, 2000 - December 21, 2001
PRAIRIE BROKERAGE SERVICES LLC
BD
CRD#: 39491
PRAIRIE VILLAGE, KS
Past
June 25, 1999 - December 14, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 22, 1999 - July 14, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Iowa(7/14/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1000 Jackson Street Suite 201, Dubuque, IA 52001
Mailing Address
Phone number
(563) 588-2097
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,184 |
| AUM (Assets Under Management) | $ 3,030,626,319 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097West Des Moines, IA 50266TRUST BUT VERIFY
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