Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chad? Claim Your ProfileChad Dennis Smith is a financial advisor who is registered with Stifel, Nicolaus & Company, Inc., and is licensed to provide financial advice in 14 states. Chad has been in the industry since November 2016 and has a broad range of experience. Chad holds the Series 7, Series 63 and SIE licenses. Stifel, Nicolaus & Company, Inc., is a well-established firm with over $149 billion in assets under management and provides financial planning, portfolio management, and other advisory services to a wide range of clients, including individuals, businesses, and institutions.
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
AL
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (BIRMINGHAM AL)
CA
11/21/2016 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (West Los Angeles CA)
BC
Issued 12/27/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2016
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
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