Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Joseph Smith is a financial advisor with over 25 years of experience in the industry. Steven Joseph Smith is currently registered with Robert W. Baird & Co. Inc. in Kentucky, Florida and Texas. Steven Joseph Smith is also registered in 33 other states as a broker. Previously, Steven Joseph Smith was registered with J.J.B. HILLIARD, W.L. LYONS, LLC from 2013 to 2019 and Raymond James Financial Services, Inc. from 2000 to 2013. Steven Joseph Smith has a Series 7, Series 63, Series 65 and SIE license.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
KY
07/13/2023 - Present
Robert W. Baird & Co. Inc. (Louisville KY)
KY
05/01/2013 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)
KY
02/24/2000 - 05/02/2013
RAYMOND JAMES FINANCIAL SERVICES, INC. (LOUISVILLE KY)
NY
10/23/1996 - 03/04/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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