Stephen S. 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 S. Smith, who also goes by Stephen N Smith, Stephen Nicholas Scribante Smith, Stephen Scribante Smith, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - November 5, 2015
KA ASSOCIATES, LLC
January 30, 2015 - October 31, 2025
KAYNE ANDERSON CAPITAL ADVISORS LP
July 13, 2005 - December 31, 2014
KAYNE ANDERSON CAPITAL ADVISORS LP
October 16, 2002 - December 2, 2005
KA ASSOCIATES, LLC
September 7, 2000 - December 18, 2001
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KA ASSOCIATES, LLC
CRD#: 32029 / SEC#: , 8-45640
Contact information
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
