Scott S. Smith
Professional summary
Scott Stephen Smith, who also goes by Scott S Smith, Scott Stephen Smith, Scott Stehpen Smith, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Stephen Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2026 - Present
REALTA EQUITIES, INC.
Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801March 3, 2010 - May 14, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2010 - May 14, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2007 - June 12, 2008
CAPWEST SECURITIES, INC.
February 7, 2007 - June 12, 2008
CAPWEST SECURITIES, INC.
February 10, 2006 - November 13, 2006
MCL FINANCIAL GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/9/2026
General Securities Representative ExaminationFINRA
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
REALTA EQUITIES, INC.
CRD#: 23769Wilmington, DE 19801TRUST BUT VERIFY
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