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 advisor with over 14 years of experience in the industry. Stephen is currently registered with Equity Services, Inc., and has previously worked with Pruco Securities, LLC., Purshe Kaplan Sterling Investments and Voya Financial Advisors, Inc. Stephen has a broad range of experience in the financial services industry, including investment advisory, insurance, and retirement planning. Stephen holds licenses for Series 6, 7, 26 and 63 and 65. Stephen specializes in providing financial planning, portfolio management, and retirement planning services to individuals, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and corporations. Stephen is also a registered representative and investment advisor representative in several states.
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.
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
PA
12/12/2018 - Present
Equity Services, Inc. (MEDIA PA)
NJ
11/06/2015 - 11/27/2018
PRUCO SECURITIES, LLC. (MARLTON NJ)
PA
10/07/2014 - 11/03/2015
PURSHE KAPLAN STERLING INVESTMENTS (Philadelphia PA)
PA
04/07/2009 - 10/03/2014
VOYA FINANCIAL ADVISORS, INC. (PHILADELPHIA PA)
IA
Issued 05/11/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2013
Series 7 - General Securities Representative Examination
BC
Issued 04/06/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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