Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Charles Smith is a financial advisor with LPL Financial LLC, registered with both FINRA and the state of New York. Steven is a veteran of the financial industry, having entered the field in May 2016 and previously working for M&T Securities, Inc. Steven's areas of expertise include portfolio management, financial planning, and consulting. In addition to being a registered representative, Steven also holds the Series 66, Series 53, Series 52, and Series 7 securities licenses as well as the SIE exam. Steven specializes in working with individuals, corporations, pension and profit-sharing plans, charitable organizations, and high net worth 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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
06/10/2021 - Present
LPL Financial LLC (BALTIMORE MD)
MD
05/17/2016 - 11/30/2021
M&T SECURITIES, INC. (BALTIMORE MD)
BOTH
Issued 04/06/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/06/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2017
Series 52 - Municipal Securities Representative Examination
BC
Issued 05/17/2016
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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