SS
Samuel N. Smith
TOUCHSTONE SECURITIES
CINCINNATI, OH 45202
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CRD#: 7585728
SS
Professional summary
Samuel Netter Smith, who also goes by Sam Smith, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2022. Samuel has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sam Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view Samuel Netter Smith'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
September 30, 2022 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Illinois(8/14/2023)
RR
Indiana(3/27/2023)
RR
Kentucky(4/3/2023)
RR
Michigan(3/27/2023)
RR
Missouri(8/14/2023)
RR
New York(4/3/2023)
RR
Ohio(1/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/30/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
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