Steven J. Smit
PARSONEX ADVISORY SERVICES
Minden, NV 89423
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CRD#: 5849990
Professional summary
Steven James Smit, CFP® is a registered financial advisor currently at PARSONEX ADVISORY SERVICES, INC. located in Minden, Nevada and PARSONEX SECURITIES, INC. located in Minden, Nevada.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Steven has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.
PARSONEX ADVISORY SERVICES, INC., INVESTMENT ADVISOR REPRESENTATIVE, OFFERING INVESTMENT ADVISORY SERVICES, 40HRS/MO BACK 9 INSURANCE INSURANCE AGENT, SALE OF INSURANCE PRODUCTS, NON-INVESTMENT RELATED, COMMISSION 1HRS/MO. STEVEN JAMES FINANCIAL- TAX PREP SOLICITOR/REFERRALS TO ENROLLED AGENTS, RECEIVES REFERRAL FEES 5HR/MO START DATE 10/2023. NO TAX PREP DUTIES, STRICTLY A REFERRAL TO A TAX PRE AGENCY.
CRS (Client Relationship Summary) - RIA
Click below to view Steven James Smit'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®
CFP®
Start date: 2016
Experience
Current
January 8, 2021 - Present
PARSONEX ADVISORY SERVICES, INC.
Office #1: 1674 Highway 395, Suite 208, Minden, NV 89423RIA
CRD#: 160275
Minden, NV
Current
October 11, 2010 - Present
PARSONEX SECURITIES, INC.
Office #1: 1674 Highway 395 Suite 208, Minden, NV 89423BD
CRD#: 144412
Minden, NV
Past
October 25, 2012 - December 31, 2020
PARSONEX ADVISORY SERVICES, INC.
RIA
CRD#: 160275
Minden, NV
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".
PA
PARSONEX ADVISORY SERVICES, INC.
PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
RIA
Registered Investment Advisory firm - (3/27/2012 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.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(8/18/2017)
IAR
Arizona(2/10/2022)
RR
California(10/20/2010)
IAR
California(1/8/2021)
IAR
Colorado(1/8/2021)
RR
Florida(4/9/2019)
IAR
Hawaii(4/2/2024)
RR
Idaho(2/19/2014)
IAR
Idaho(1/8/2021)
RR
Illinois(1/17/2018)
IAR
Illinois(1/8/2021)
RR
Iowa(10/20/2010)
IAR
Iowa(1/8/2021)
IAR
Nebraska(1/25/2021)
RR
Nevada(10/20/2010)
IAR
Nevada(1/21/2021)
IAR
Oregon(1/8/2021)
RR
Texas(11/2/2015)
IAR
Texas(1/8/2021)
RR
Wisconsin(6/13/2013)
IAR
Wisconsin(1/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARSONEX ADVISORY SERVICES, INC.
PARSONEX ADVISORY SERVICES, INC. | PARSONEX FINANCIAL SERVICES, INC.
CRD#: 160275 / SEC#: 801-74543
RIA
Registered Investment Advisory firm - (3/27/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Mailing Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Phone number
(303) 662-8700
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 174,840,469 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PARSONEX ADVISORY SERVICES, INC.
CRD#: 160275Minden, NV 89423TRUST BUT VERIFY
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