Steven E. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Edward Smith, who also goes by Steve Smith, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2016 - September 22, 2023
ALLSTATE FINANCIAL SERVICES, LLC
July 29, 2015 - April 27, 2016
NYLIFE SECURITIES LLC
May 3, 2011 - February 27, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 3, 2011 - February 27, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 22, 2009 - February 28, 2011
ONEAMERICA SECURITIES, INC.
February 27, 2009 - February 28, 2011
ONEAMERICA SECURITIES, INC.
January 11, 2008 - June 18, 2008
PRINCIPAL SECURITIES, INC.
January 8, 2008 - June 18, 2008
PRINCIPAL SECURITIES, INC.
October 29, 2002 - June 6, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 17, 1993 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
November 8, 1988 - June 6, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 25, 1986 - January 26, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 18, 1986 - January 28, 1988
ROBERT W. BAIRD & CO. INCORPORATED
January 5, 1984 - February 18, 1986
MML INVESTORS SERVICES, LLC
November 17, 1983 - February 19, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
September 27, 1982 - March 15, 1983
NYLIFE SECURITIES LLC
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 1
Date: 11/21/1978
Registered Representative ExaminationSeries 8
Date: 8/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
