SS
Steven R. Smetana
SYMPHONY FINANCIAL SERVICES
Akron, OH 44333
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CRD#: 5324825
SS
Professional summary
Steven Robert Smetana is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 12/13/2016 - SYMPHONY FINANCIAL SERVICES, INC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 12/16/2016 - 175 hr/mth.
2) 12/14/2016 - SYMPHONY FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 12/16/2016 - 80 Hours Per Month/20 Hours During Securities Trading - Time Spent 25% - I provide investment advisory services through SYMPHONY FINANCIAL SERVICES, an independent investment advisor firm. I started this business activity in 12/2016. I expect to spend approximately 80 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3). 08/08/2019 - Ash Brokerage - Investment related - At reported business location(s) - Non-Variable Insurance - start date:08/01/2019 - 6 hrs/mo - 6 hrs during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Robert Smetana'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
December 13, 2016 - Present
SYMPHONY FINANCIAL SERVICES, INC.
Office #1: 4100 Embassy Parkway Suite 100, Akron, OH 44333RIA
CRD#: 125058
Akron, OH
Current
December 13, 2016 - Present
LPL FINANCIAL LLC
Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783RIA
BD
CRD#: 6413
Akron, OH
Past
May 8, 2012 - December 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AKRON, OH
Past
May 8, 2012 - December 20, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AKRON, OH
Past
October 5, 2010 - July 27, 2012
CENTRUST WEALTH MANAGEMENT, INC.
RIA
CRD#: 120844
AKRON, OH
Past
September 30, 2010 - May 16, 2012
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
AKRON, OH
Past
July 5, 2007 - September 30, 2010
EDWARD JONES
RIA
CRD#: 250
AKRON, OH
Past
June 7, 2007 - September 30, 2010
EDWARD JONES
BD
CRD#: 250
AKRON, OH
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".
SF
SYMPHONY FINANCIAL SERVICES, INC.
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058 / SEC#: 801-63300
RIA
Registered Investment Advisory firm - (6/24/2004 Approved)Ohio
Registered Investment Advisory firm - (3/17/2010 Terminated)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
Arizona(12/13/2016)
RR
California(9/11/2017)
RR
Florida(12/13/2016)
RR
Georgia(12/16/2022)
RR
Maryland(12/16/2022)
RR
New Jersey(12/13/2016)
RR
New York(12/13/2016)
RR
North Carolina(12/13/2016)
RR
Ohio(12/13/2016)
IAR
Ohio(12/13/2016)
RR
South Carolina(12/13/2016)
RR
Texas(12/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL SERVICES, INC.
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058 / SEC#: 801-63300
RIA
Registered Investment Advisory firm - (6/24/2004 Approved)Ohio
Registered Investment Advisory firm - (3/17/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4100 Embassy Parkway Suite 100, Akron, OH 44333
Mailing Address
Phone number
(330) 434-2000
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,254 |
| AUM (Assets Under Management) | $ 376,086,940 |
Red Flags
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Company Information
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058Akron, OH 44333TRUST BUT VERIFY
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