Stephen K. Smith

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CRD#: 4600367

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 Kirk Smith was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2003. Stephen had worked at 5 firms .

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

April 14, 2003 - January 3, 2007

STERNE, AGEE & LEACH, INC.

RIA

CRD#: 791

BIRMINGHAM, AL

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".

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

Current Firm

CWA ASSET MANAGEMENT GROUP

BLUEHARBOR WEALTH ADVISORS | CWA ASSET MANAGEMENT GROUP, LLC | CWA ASSET MANAGEMENT GROUP | CAPITAL WEALTH ADVISORS

CRD#: 158940 / SEC#: 801-79715

RIA

Registered Investment Advisory firm - (5/22/2014 Approved)

Florida

Registered Investment Advisory firm - (5/23/2014 Terminated)

Nebraska

Registered Investment Advisory firm - (5/23/2014 Terminated)

North Carolina

Registered Investment Advisory firm - (5/23/2014 Terminated)

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Contact information

Main Address

9130 Galleria Court Third Floor, Naples, FL 34109

Mailing Address

Phone number

(239) 434-7434

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWA FORM ADV PART 2A (10/21/2025)

Regulatory assets under management

Total Number of Accounts	4,702
AUM (Assets Under Management)	$ 4,065,327,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2025	Cover Page	Report
12/20/2024	Cover Page	Report
10/13/2023	Cover Page	Report
12/09/2022	Cover Page	Report

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.

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Stephen K. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CWA ASSET MANAGEMENT GROUP

NOESIS CAPITAL MANAGEMENT CORP

INTL ADVISORY CONSULTANTS INC.

STERNE AGEE ASSET MANAGEMENT

STERNE, AGEE & LEACH, INC.

Primary Firm SEC Registration

CWA ASSET MANAGEMENT GROUP

State Registrations and Notice Filings

Exams

Current Firm

CWA ASSET MANAGEMENT GROUP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CWA ASSET MANAGEMENT GROUP

TRUST BUT VERIFY

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