Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Smith is a financial advisor who has been in the industry since 2009. Stephen Smith is registered in 26 states and holds Series 66, Series 7 and SIE licenses. Stephen Smith is currently employed by Ameriprise Financial Services, LLC. Stephen Smith has previously been employed by J.P. Morgan Securities LLC, Chase Investment Services Corp., Edward Jones and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Stephen Smith specializes in Asset Allocation, Financial Planning, Pension Consulting, Educational Seminars, Publication of Periodicals, Selection of Other Advisors, Portfolio Management for Businesses, and Portfolio Management for 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.
Asset allocation services
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
LA
03/18/2022 - Present
Ameriprise Financial Services, LLC (Baton Rouge LA)
LA
10/01/2012 - 03/19/2022
J.P. MORGAN SECURITIES LLC (BATON ROUGE LA)
LA
12/07/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BATON ROUGE LA)
LA
03/16/2009 - 11/26/2010
EDWARD JONES (WALKER LA)
FL
01/15/2009 - 02/13/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DESTIN FL)
BOTH
Issued 03/27/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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