Stephen G. Smith
Professional summary
Stephen Garrett Smith is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT MANAGEMENT, LLC. located in Austin, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Garrett Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 29, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735October 7, 2024 - Present
KESTRA INVESTMENT MANAGEMENT, LLC.
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735January 29, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735October 25, 2019 - January 13, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - January 13, 2020
AVANTAX INVESTMENT SERVICES, INC.
August 13, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
August 13, 2007 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
July 18, 2007 - August 8, 2007
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
July 18, 2007 - August 8, 2007
FIRST SOUTHWEST COMPANY, LLC
May 19, 2006 - July 18, 2007
1ST GLOBAL ADVISORS INC
June 17, 2002 - July 18, 2007
1ST GLOBAL CAPITAL CORP.
August 11, 2000 - July 2, 2002
IDS LIFE INSURANCE COMPANY
August 11, 2000 - July 2, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
