Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael Smith is a financial professional with over 20 years of experience in the financial services industry. Stephen is currently registered with Cetera Investment Advisers LLC, a firm with a strong focus on providing financial planning and portfolio management services to individuals, corporations, and charitable organizations. Stephen holds a Series 6, Series 63, and Series 65 license. Stephen specializes in fixed insurance, financial planning and portfolio management, and has been recognized for his expertise in these areas. In addition to his work at Cetera Investment Advisers LLC, Stephen is also involved in the community as a Director of Growth & Human Development for the St. Raymond's Society.
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.
A percentage of the total value of assets under management is charged.
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MO
06/29/2023 - Present
Cetera Investment Advisers LLC (JEFFERSON CITY MO)
MO
01/24/2003 - 05/21/2014
STATE FARM VP MANAGEMENT CORP. (COLUMBIA MO)
CA
04/22/1999 - 04/16/2001
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NJ
04/16/1998 - 01/14/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 12/18/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/9/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/9/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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