Steven Smith, financial advisor Little Rock AR
93 score

Steven Smith

CRD Number: 1176036
Current Firm: Regal Advisory Services, Inc.

Steven Smith (CRD# 1176036) is an Investment Advisor Representative working at Regal Advisory Services, Inc. in Little Rock, AR and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Regal Advisory Services Little Rock, AR Jul 2007 - Current 9
Regal Securities Little Rock, AR Jun 2007 - Current 9
Brookstreet Securities Corporation Irvine, CA Jan 2003 - Jun 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1983
S65 NASAA Investment Advisors Law Examination Jul 1994
Contact Info for Steven M. Smith
Phone Number: 877-488-6537
Registered State(s):
  • AR
By the Numbers
  • Total Assets Under Management
    170
    MILLIONS
  • Total Number of Accounts
    564
    ACCOUNTS
  • Average Account Value
    $301,393
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AR, AZ, CA, CO, FL, IL, LA, MA, MI, MN, MS, NJ, NM, NV, NY, OH, OK, TN, TX, VT, WI

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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