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Stephen Corcoran Smith

Seaport Global Securities LLC

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About Stephen Corcoran Smith

Stephen Corcoran Smith is a financial professional with over 39 years of experience in the securities industry. Stephen is currently registered with Seaport Global Securities LLC in New York and Florida. Stephen has held previous positions at IPO.COM SECURITIES, INC., AMROC SECURITIES LLC, U.S. BANCORP INVESTMENTS, INC., LIBRA INVESTMENTS, INC., JEFFERIES & COMPANY, INC., S.N. PHELPS & CO., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Stephen is a licensed securities professional with Series 7, 63, 24, 79 and SIE registrations. Stephen holds the Operations Professional designation (Series 99TO)

Firm Information

Stephen Smith is currently registered with Seaport Global Securities LLC. Seaport Global Securities LLC is a Limited Liability Company formed in 2001 and is approved in 52 states and the District of Columbia. They are registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

92

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen Smith’s Registration & Firm History

NY

01/11/2002 - Present

Seaport Global Securities LLC (NEW YORK NY)

NY

03/20/2001 - 04/04/2002

IPO.COM SECURITIES, INC. (NEW YORK NY)

NY

12/08/1999 - 03/20/2001

AMROC SECURITIES LLC (NEW YORK NY)

MN

01/04/1999 - 12/08/1999

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

NA

06/06/1991 - 01/04/1999

LIBRA INVESTMENTS, INC.

NY

03/20/1989 - 05/21/1991

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NA

10/20/1988 - 04/22/1989

S.N. PHELPS & CO.

NA

03/22/1984 - 09/22/1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

BC

Issued 04/09/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/11/1993

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2011

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 03/17/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Corcoran Smith.
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