Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Leslie Smith is a financial advisor based in LITTLE ROCK, AR, and has been in the industry since 1998. Andrew Leslie Smith is currently registered with Stifel, Nicolaus & Company, Inc. and previously was registered with VINING-SPARKS IBG, LLC, ICBA SECURITIES, and COLLEGE & UNIVERSITY SECURITIES CORPORATION. Andrew Leslie Smith holds licenses for Series 7, Series 24, Series 63, Series 79TO, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AR
04/22/2022 - Present
Stifel, Nicolaus & Company, Inc. (LITTLE ROCK AR)
AR
06/04/1998 - 04/22/2022
VINING-SPARKS IBG, LLC (LITTLE ROCK AR)
AR
06/11/1998 - 12/18/2019
ICBA SECURITIES (LITTLE ROCK AR)
TN
06/11/1998 - 10/08/1999
COLLEGE & UNIVERSITY SECURITIES CORPORATION (MEMPHIS TN)
BC
Issued 06/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Andrew Smith is the right advisor for you? Invested Better is here to help.
