Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Brian Smith is a financial professional with over 30 years of experience in the industry. Currently, Steven is a registered representative with Cadaret, Grant & Co., Inc. and has been with the firm since January 2018. Steven specializes in providing financial planning, pension consulting, educational seminars, and portfolio management services for individuals and businesses. Steven has a wide range of experience in the financial services industry and is committed to helping clients achieve their financial goals.
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
NJ
05/04/2021 - Present
Cadaret, Grant & CO., Inc. (Mahwah NJ)
NY
04/04/1997 - 02/08/2018
NORTHEAST SECURITIES, INC. (COTTAGE NY)
NY
03/22/1995 - 04/09/1997
JARON EQUITIES CORP. (HICKSVILLE NY)
NA
01/26/1995 - 03/31/1995
CHEMICAL INVESTMENT SERVICES CORP.
NY
06/01/1992 - 01/24/1995
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
08/23/1991 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
MN
07/18/1989 - 07/01/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/18/1989 - 07/01/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
02/14/1989 - 06/27/1989
CHARTERED FINANCIAL CONSULTANTS, LTD.
BOTH
Issued 06/20/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/23/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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