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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Maier Smith is an investment advisor representative at Regal Advisory Services, Inc. Steven Maier Smith has been in the industry since September 16, 1983 and has been registered with Regal Advisory Services, Inc. since July 25, 2007. Steven Maier Smith is also registered with the state of Arkansas as an investment advisor. Steven Maier Smith's previous experience includes roles at BROOKSTREET SECURITIES CORPORATION and MORGAN KEEGAN & COMPANY, INC. Steven Maier Smith holds the Series 3, Series 63, Series 65, and Series 7 licenses as well as the SIE exam.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
1
2
IL
07/25/2007 - Present
Regal Advisory Services, Inc. (GLENVIEW IL)
AR
01/29/2003 - 07/03/2007
BROOKSTREET SECURITIES CORPORATION (LITTLE ROCK AR)
TN
05/08/1989 - 02/03/2003
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NA
09/17/1983 - 05/08/1989
T. J. RANEY & SONS, INC.
IA
Issued 07/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/1986
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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