SS
Stephen B. Smith
DURATION ASSET MANAGEMENT
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 428986
SS
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 53, Series 24, Series 10, Series 14, Series 9, Series 4, Series 12 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Entity Name: 75 Callejon De La Alegria
Investment related: Yes
Address: 75 San Lucas, Mexico
Nature of the other business: vacation rental home
Position/Title/Relationship: Sole Proprietor
Start Date: 07-Nov-2003
Approximate # of hours a month: ZERO
Approximate # of hours during securities trading hours: ZERO
Briefly describe your duties: owner no responsibilities
PRESIDENT OF MEREGRASS, INC., A SUB-S CORP., ENGAGED IN AIRCRAFT LEASING;
Entity Name: Texas Health Resources (THR)
Investment related: Yes
Address: 612 Arlington, TX
Nature of the other business: THR is one of the largest non-profit health organizations in the US, operating 25 hospitals in north Texas.
Position/Title/Relationship: Other
Start Date: 03-Sep-2013
Approximate # of hours a month: approximately 10 hours per calendar quarter
Approximate # of hours during securities trading hours: 2 hours per quarter
Briefly describe your duties: member of the Investment Committee
ENTITY NAME: WILDCAT TOURING LLC INVESTMENT RELATED: NO ADDRESS: 4033 GRASSMERE DALLAS, TX 75205 NATURE OF THE OTHER BUSINESS: AIRCRAFT CHARTER OPERATOR POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR (OWNER OF 100% OF THE BUSINESS) START DATE: 01-JAN-2015 APPROXIMATE # OF HOURS A MONTH: 10 HOURS/MONTH APPROXIMATE # OF HOURS DURING SECURITIES TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES: OWNER - CHARTER AIRCRAFT COMPANY - PASSIVE INVOLVEMENT.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Bishop 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
October 4, 2018 - Present
DURATION ASSET MANAGEMENT, LLC
Office #1: 8333 Douglas Ave., Suite 1365, Dallas, TX 75225RIA
CRD#: 298651
Dallas, TX
Current
July 17, 2018 - Present
SMITH CAPITAL MARKETS, LLC.
Office #1: 8333 Douglas Ave., Suite 1450, Dallas, TX 75225BD
CRD#: 121430
DALLAS, TX
Past
September 10, 2015 - July 24, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
DALLAS, TX
Past
December 7, 2001 - March 27, 2009
CAMILLA ASSET MANAGEMENT, LP
RIA
CRD#: 114927
DALLAS, TX
Past
April 24, 2001 - July 24, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DALLAS, TX
Past
November 30, 1994 - May 4, 2001
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 24, 1976 - December 15, 1994
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 9, 1969 - August 17, 1976
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
DA
DURATION ASSET MANAGEMENT, LLC
DURATION ASSET MANAGEMENT, LLC
CRD#: 298651 / SEC#: 801-114084
RIA
Registered Investment Advisory firm - (10/4/2018 Approved)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.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
Colorado(7/21/2018)
RR
Florida(7/21/2018)
RR
North Carolina(4/6/2023)
RR
Texas(7/17/2018)
IAR
Texas(10/4/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/22/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 1/6/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 12/20/1977
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 11/23/1976
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
DA
DURATION ASSET MANAGEMENT, LLC
DURATION ASSET MANAGEMENT, LLC
CRD#: 298651 / SEC#: 801-114084
RIA
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Contact information
Main Address
8333 Douglas Ave Suite 1450, Dallas, TX 75225
Mailing Address
Phone number
(214) 420-0300
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 467,286,324 |
Red Flags
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Company Information
DURATION ASSET MANAGEMENT, LLC
CRD#: 298651Dallas, TX 75225TRUST BUT VERIFY
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Contact information
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