Stewart S. Smith

ALPHASTAR CAPITAL MANAGEMENT

Greenville, SC 29615

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CRD#: 4847443

Professional summary

Stewart Swinton Smith, who also goes by Stewart S Smith, is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Greenville, South Carolina.

Stewart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Stewart has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stewart 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.

1.) STEWART SMITH FINANCIAL, LLC; YES INVESTMENT RELATED; 300 Executive Center Dr, Ste 104, Greenville, SC 29615; INSURANCE SALES; PRESIDENT/OWNER; START DATE 11/2021; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stewart Swinton Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 4, 2024 - Present

ALPHASTAR CAPITAL MANAGEMENT

Office #1: 300 Executive Center Drive, Suite 104, Greenville, SC 29615

RIA

CRD#: 157423

Greenville, SC

Past

November 15, 2021 - December 10, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Greenville, SC

Past

November 14, 2019 - October 8, 2021

SOUTHPORT CAPITAL

RIA

CRD#: 113364

Greenville, SC

Past

January 24, 2019 - May 29, 2019

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Charlotte, NC

Past

August 21, 2017 - January 2, 2019

EQUITY SERVICES, INC.

CRD#: 265

CHARLOTTE, NC

Past

August 1, 2014 - August 2, 2017

NYLIFE SECURITIES LLC

CRD#: 5167

COLUMBIA, SC

Past

September 12, 2012 - June 12, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

GREENVILLE, SC

Past

February 24, 2012 - June 12, 2014

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

GREENVILLE, SC

Past

March 10, 2008 - December 31, 2010

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

SPARTANBURG, SC

Past

December 17, 2004 - April 2, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COLUMBIA, SC

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".

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(12/10/2024)

IAR

South Carolina
(12/9/2024)

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

State Security Law Exam

IAR

Series 65

Date: 9/27/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/19/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC

CRD#: 157423 / SEC#: 801-72361

RIA

Registered Investment Advisory firm - (5/18/2011 Approved)

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Contact information

Main Address

19600 West Catawba Avenue Suite B200, Cornelius, NC 28031

Mailing Address

Phone number

(855) 340-2514

Established

Firm type

Fiscal year end

# of Employees

124

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,592
AUM (Assets Under Management)	$ 1,841,154,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/12/2023	Cover Page	Report
06/27/2023	Cover Page	Report
01/24/2023	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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Advisor Monitoring

Firm Stability Insights

Stewart S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stewart Swinton Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

SOUTHPORT CAPITAL

ONEAMERICA SECURITIES, INC.

EQUITY SERVICES, INC.

NYLIFE SECURITIES LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

JBS LIBERTY SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ALPHASTAR CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2019

Series 63

Date: 11/23/2004

SIE

Date: 10/1/2018

Series 6

Date: 11/19/2004

Current Firm

ALPHASTAR CAPITAL MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALPHASTAR CAPITAL MANAGEMENT

TRUST BUT VERIFY

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