Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Thomas Smith is a financial professional with over 15 years of experience in the securities industry. Steven has held positions at several firms, including Assent LLC, Trillium Trading LLC, and E*TRADE Professional Trading, LLC. Steven currently works at Chimera Securities, LLC, where Steven has been registered since March 2011. Steven has a broad range of knowledge and expertise in the financial services industry. Steven holds the Series 7, Series 55, Series 57TO, and Series 63 licenses. Steven is dedicated to providing exceptional service and guidance to clients.
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.
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.
1
2
NY
03/14/2011 - Present
Chimera Securities, LLC (NEW YORK NY)
NY
05/19/2008 - 11/04/2008
ASSENT LLC (NEW YORK NY)
NY
05/25/2005 - 09/29/2005
TRILLIUM TRADING LLC (NEW YORK NY)
NY
07/23/2003 - 07/27/2004
E*TRADE PROFESSIONAL TRADING, LLC (NEW YORK NY)
BC
Issued 04/26/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2008
Series 7 - General Securities Representative Examination
BC
Issued 05/03/2008
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
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