Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Ray Smith is a financial advisor with over 20 years of experience. Stephen is registered with Raymond James Financial Services Advisors, Inc. Stephen works in the Ballinger, Texas office. Stephen has passed the Series 7, Series 24, Series 51, and Series 66 exams. Stephen specializes in providing financial advice to individuals, businesses, and pension plans. Stephen's services include financial planning, portfolio management, and investment consulting. Stephen also has experience with insurance companies, charitable organizations, and state or municipal government entities.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (BALLINGER TX)
NY
03/02/2001 - 11/07/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/27/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/2005
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/22/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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