Scott Stephen Smith
Professional Summary
Scott Stephen Smith, who also goes by Scott S Smith, Scott Stephen Smith, Scott Stehpen Smith, is a registered financial advisor currently at REALTA EQUITIES, INC. located in Wilmington, Delaware. Scott is registered as a RR (Registered Representative) and started their career in finance in 2006. Scott has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott S Smith, Scott Stephen Smith, Scott Stehpen Smith
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
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.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Years of Experience
20 years in the financial services industry
Current & Past Employments
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
Current Firm
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.
Contact Information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Phone Number
(888) 657-5200Established
Massachusetts since 01/24/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
7Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
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.
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
CRS (Client Relationship Summary) - BD
Click below to view Scott Stephen Smith's CRS (Customer Relationship Summary).
Similar Advisors
SHERPA CAPITAL MANAGEMENT
OSAIC WEALTH, INC.
BARGELD FINANCIAL
