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Steven Smith

Transamerica Financial Advisors, Inc.

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About Steven Smith

Steven Smith is a financial advisor at Transamerica Financial Advisors, Inc. Steven has been in the financial services industry for over 19 years. Steven works with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Steven is registered with the state of Oregon and Texas. Steven holds Series 4, 6, 7, 24, 63, and 65 licenses. Steven is also registered with FINRA and the SEC.

Firm Information

Steven Smith is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Steven Smith’s Registration & Firm History

TX

12/20/2024 - Present

Transamerica Financial Advisors, Inc. (HOUSTON TX)

OR

11/11/2019 - 04/14/2021

NYLIFE SECURITIES LLC (GLIDE OR)

OR

06/04/2015 - 09/13/2019

J.P. MORGAN SECURITIES LLC (ROSEBURG OR)

UT

09/03/2014 - 05/20/2015

E*TRADE SECURITIES LLC (SANDY UT)

UT

02/16/2006 - 04/20/2010

E*TRADE SECURITIES LLC (SANDY UT)

NJ

09/12/2000 - 02/16/2006

HARRISDIRECT LLC (JERSEY CITY NJ)

GA

09/03/1997 - 06/25/1999

WMA SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 05/06/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/26/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/14/2006

Series 4 - Registered Options Principal Examination

BC

Issued 04/22/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/03/2014

Series 7 - General Securities Representative Examination

BC

Issued 08/29/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Smith.
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