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 who has been in the industry since 1998. Stephen has a Series 7 and Series 63 license. Stephen is currently registered with Cetera Investment Advisers LLC in Florida and Texas. Previously, Stephen was registered with BBVA Securities Inc., Allstate Financial Services, LLC, Cetera Investment Services LLC, BB&T Investment Services, Inc., and Raymond James Financial Services, Inc. Stephen has a wide range of experience, including working with high-net-worth individuals, corporations, and pension plans. Stephen is committed to providing his clients with personalized financial advice and services.
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 7/2/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/16/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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