Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Richard Smith is a financial advisor with Cetera Investment Advisers LLC, located in Fort Myers, FL. Stephen has been in the financial services industry since 1998. Stephen has a Series 7, Series 63, and Series 65 license. Stephen has been registered with Cetera Investment Advisers LLC since 2017. Stephen is also registered in the following states: Alabama, Florida, Georgia, Illinois, Kentucky, North Carolina, Ohio, Tennessee, Texas, and Wisconsin. Stephen's areas of expertise include financial planning, pension consulting, educational seminars, and portfolio management. Stephen also provides advisory services to businesses and individuals.
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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2
FL
06/16/2022 - Present
Cetera Investment Advisers LLC (FORT MYERS FL)
CO
02/12/2016 - 03/16/2017
BBVA SECURITIES INC. (HIGHLANDS RANCH CO)
CO
08/25/2015 - 01/26/2016
ALLSTATE FINANCIAL SERVICES, LLC (COLORADO SPRINGS CO)
LA
04/13/2013 - 08/14/2015
CETERA INVESTMENT SERVICES LLC (SHREVEPORT LA)
FL
09/13/2010 - 04/01/2013
BB&T INVESTMENT SERVICES, INC. (BONITA SPRINGS FL)
FL
06/06/2003 - 09/13/2010
RAYMOND JAMES FINANCIAL SERVICES, INC. (ESTERO FL)
NY
06/22/1998 - 06/12/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 07/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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