Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Gerard Smith is a financial advisor in Madison, Wisconsin. Stephen has been in the financial industry since 1983. Stephen is currently registered with Harbour Investments, Inc. Stephen has been registered with Harbour Investments, Inc. since May 2021. Prior to this, Stephen was registered with LPL Financial LLC from April 2015 to May 2021. Stephen is also a Chartered Financial Consultant. Stephen is a licensed insurance agent and has worked with a number of clients, including individuals, corporations, 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.
Helps you choose top advisors aligned with your financial goals.
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.
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2
WI
05/13/2021 - Present
Harbour Investments, Inc. (MADISON WI)
WI
04/28/2015 - 05/24/2021
LPL FINANCIAL LLC (MADISON WI)
WI
12/19/1995 - 04/30/2015
THE O.N. EQUITY SALES COMPANY (MADISON WI)
NY
03/19/1991 - 01/11/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
WI
05/16/1986 - 01/11/1996
WFG SECURITIES CORPORATION (MIDDLETON WI)
NA
08/28/1986 - 02/24/1992
PENN MUTUAL EQUITY SERVICES, INC.
PA
03/20/1985 - 02/24/1992
PENN MUTUAL EQUITY SERVICES, INC. (HORSHAM PA)
NY
06/08/1987 - 12/31/1990
NEW ENGLAND SECURITIES (NEW YORK NY)
NJ
10/23/1986 - 10/10/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NA
01/05/1984 - 05/28/1986
PENN MUTUAL EQUITY SERVICES, INC.
NA
04/26/1982 - 01/03/1983
METROPOLITAN LIFE INSURANCE COMPANY
BC
Issued 04/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
BC
Issued 04/05/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/23/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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