Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Clark Smales is an investment advisor representative who has been active in the financial industry since 1998. Steven is currently registered with RBC Capital Markets, LLC and has been registered with them since March 30, 2016. Steven has been registered with the following states: Delaware, District of Columbia, Florida, Illinois, Maryland, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, and Wyoming. Steven is also registered as an investment advisor representative in Pennsylvania. Steven is a Series 63, 65, 7, and SIE licensed professional. Before joining RBC Capital Markets, LLC, Steven worked with Valley Forge Asset Management, LLC.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
PA
03/30/2016 - Present
RBC Capital Markets, LLC (CONSHOHOCKEN PA)
PA
06/03/1996 - 07/08/2014
VALLEY FORGE ASSET MANAGEMENT, LLC (KING OF PRUSSIA PA)
BC
Issued 08/01/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/01/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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