Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Andrew Smith is a registered representative with Transamerica Retirement Advisors, LLC. Steven is a financial advisor with over 20 years of experience in the financial services industry. Steven has a strong track record of helping individuals and families achieve their financial goals. Steven has held several positions within the financial industry, including positions at LPL Financial LLC, Fifth Third Securities, Inc., and AXA Advisors, LLC. Steven is currently registered with the state of Indiana as an investment advisor representative. Steven also has passed multiple industry exams including the Series 6, 7, 8, 31, 63, and 65 exams. Steven's primary focus is providing financial planning and investment advice to individual clients. Steven is dedicated to providing his clients with personalized service and a comprehensive approach to financial planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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
IN
06/22/2022 - Present
Transamerica Retirement Advisors, LLC (Fishers IN)
IN
12/05/2016 - 02/15/2022
CLARENDON INSURANCE AGENCY, INC. (Indianopolis IN)
IN
06/08/2011 - 08/02/2012
FIFTH THIRD SECURITIES, INC. (INDIANAPOLIS IN)
NC
11/30/2009 - 06/13/2011
LPL FINANCIAL LLC (CHARLOTTE NC)
IN
11/09/2009 - 12/01/2009
INVEST FINANCIAL CORPORATION (FISHERS IN)
IN
12/14/2005 - 10/02/2009
CHASE INVESTMENT SERVICES CORP. (NOBLESVILLE IN)
NY
08/10/2000 - 08/27/2001
AXA ADVISORS, LLC (NEW YORK NY)
TX
08/03/1995 - 08/31/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MN
03/13/1995 - 08/11/1995
TCF SECURITIES, INC. (MINNEAPOLIS MN)
NY
04/15/1994 - 02/09/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/21/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/18/2007
Series 7 - General Securities Representative Examination
BC
Issued 05/20/1994
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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