Stephen Bishop Smith
Professional Summary
Stephen Bishop Smith is a registered financial advisor currently at DURATION ASSET MANAGEMENT, LLC located in Dallas, Texas and SMITH CAPITAL MARKETS, LLC. located in Dallas, Texas. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Stephen has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, Series 52TO, SIE, Series 5, PC, Series 1, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
DURATION ASSET MANAGEMENT, LLC
Contact Information
Main Address
8333 Douglas Ave Suite 1450, Dallas, TX 75225Phone Number
(214) 420-0300# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$1,584,640,190Similar Advisors
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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.
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Primary Firm SEC Registration
DURATION ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(7/21/2018)
(7/21/2018)
(4/6/2023)
(7/17/2018)
(10/4/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed Aug 1977Series 1 — Registered Representative Examination
Passed Jan 1969Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Dec 1977Series 40 — Registered Principal Examination
Passed Nov 1976SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Bishop Smith's CRS (Customer Relationship Summary).
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