Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Warren Smith is a financial advisor who has been working in the industry since January 1997. Steven is currently registered with CIBC Private Wealth Advisors, Inc. and is licensed in multiple states including California, District of Columbia, Florida, Louisiana, Maryland, and Virginia. Steven also has a strong history of working in the financial services industry, having previously been employed at firms such as Invesco Distributors, Inc., Citigroup Global Markets Inc., UST Securities Corp., and First Union Brokerage Services, Inc. Steven has a wide range of experience in the industry and is well-equipped to provide advice on a variety of financial matters.
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.
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.
Index provider
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
DC
07/27/2023 - Present
Cibc Private Wealth Advisors, Inc. (Washington DC)
DC
08/03/2011 - 01/02/2014
INVESCO DISTRIBUTORS, INC. (WASHINGTON DC)
DC
06/15/2007 - 12/01/2009
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
DC
12/01/2002 - 06/05/2007
UST SECURITIES CORP. (WASHINGTON DC DC)
NY
06/27/2000 - 12/01/2002
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
NC
04/13/1995 - 06/06/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 12/29/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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