SS
Steven S. Smith
OSAIC INSTITUTIONS
Bangor, ME 04401
Some features on this profile are disabled
CRD#: 4561253
SS
Professional summary
Steven Scott Smith, who also goes by Steven S Smith, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bangor, Maine.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven S 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Scott Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Scott 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 25, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 201 Main Street, Bangor, ME 04401RIA
BD
CRD#: 35371
Bangor, ME
Current
October 25, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 201 Main Street, Bangor, ME 04401RIA
BD
CRD#: 35371
Bangor, ME
Past
May 21, 2018 - November 13, 2019
PEOPLE'S UNITED ADVISORS, INC.
RIA
CRD#: 292454
Bangor, ME
Past
January 27, 2010 - November 13, 2019
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
BRIDGEPORT, CT
Past
January 26, 2010 - November 13, 2019
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
Past
November 17, 2009 - January 8, 2010
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
BANGOR, ME
Past
November 17, 2009 - January 8, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
BANGOR, ME
Past
June 10, 2005 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
BANGOR, ME
Past
June 10, 2005 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
BANGOR, ME
Past
November 10, 2004 - June 20, 2005
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
LEWISTON, ME
Past
November 5, 2002 - June 20, 2005
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
WINDSOR, CT
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Connecticut(10/25/2019)
RR
Florida(10/25/2019)
RR
Georgia(10/25/2019)
RR
Illinois(4/30/2020)
RR
Maine(10/25/2019)
IAR
Maine(10/25/2019)
RR
Massachusetts(10/25/2019)
RR
New Hampshire(10/25/2019)
RR
Pennsylvania(10/25/2019)
RR
Vermont(10/25/2019)
RR
Wisconsin(2/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Bangor, ME 04401TRUST BUT VERIFY
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