Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lewis Smith is a financial advisor registered with Charles Schwab & CO., Inc. Smith has been in the industry since June 1998 and is currently registered with the state of Texas as a Registered Representative (RA). Previously, Smith worked for USAA FINANCIAL ADVISORS, INC., TD WATERHOUSE INVESTOR SERVICES, INC., and OLDE DISCOUNT CORPORATION. Smith is also a registered Investment Advisor (IA) in the state of Texas. Smith specializes in financial planning and investment management. The advisor can also provide selection of other advisors and wrap fee program sponsors.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
06/29/2007 - Present
Charles Schwab & CO., Inc. (San Antonio TX)
TX
05/09/2006 - 06/20/2007
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
NE
04/05/1999 - 02/01/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MI
02/19/1998 - 04/12/1999
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 07/24/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/23/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/29/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1998
Series 7 - General Securities Representative Examination
BC
Issued 02/18/1998
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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