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SS

Stephen R. Smith

STEPHEN SMITH FINANCIAL
SCHAUMBURG, IL 60173
Some features on this profile are disabled
CRD#: 6713437
SS

Professional summary

Stephen Richard Smith is a registered financial advisor currently at STEPHEN SMITH FINANCIAL INC. located in Schaumburg, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Stephen has worked at 5 firms and has passed the Series 65 exam.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Richard 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 3, 2025 - Present

STEPHEN SMITH FINANCIAL INC.

Office #1: 1701 East Woodfield Road Suite 810, Schaumburg, IL 60173
RIA
CRD#: 339402
SCHAUMBURG, IL
Past

November 5, 2025 - April 28, 2026

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
Schaumburg, IL
Past

January 10, 2024 - November 4, 2025

WEALTH BUILDER FUNDS LLC

RIA
CRD#: 328782
CARY, IL
Past

July 12, 2018 - January 15, 2026

SIGNIFICANT WEALTH PARTNERS LLC

RIA
CRD#: 293060
CARY, IL
Past

October 27, 2016 - February 20, 2024

CAPITAL MANAGEMENT CONSULTANTS, INC.

RIA
CRD#: 19935
HAWTHORN WOODS, IL

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
Illinois
(12/3/2025)
IAR
Texas
(3/19/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/27/2016
Uniform Investment Adviser Law Examination

Current Firm

SS
STEPHEN SMITH FINANCIAL INC.
STEPHEN SMITH FINANCIAL INC.

CRD#: 339402 / SEC#: 801-134877

RIA
Registered Investment Advisory firm - (12/3/2025 120-Day Approval)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1701 East Woodfield Road Suite 810, Schaumburg, IL 60173
Mailing Address
Phone number
(847) 337-1022
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SSF ADV 2A (12/4/2025)
0

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.

Company Information

STEPHEN SMITH FINANCIAL INC.

CRD#: 339402Schaumburg, IL 60173

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