Stephen Richard Smith
Investment adviser representative at Stephen Smith Financial Inc.
19 yearsExperience
2 statesRegistered in
$129MFirm assets
Under 1 yearFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assets
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
19 years in the industry.
- Stephen Smith Financial Inc.Nov 2025 to now
- Ae Wealth Management, LLCNov 2025 to now
- Stephen Smith InsuranceNov 2025 to now
- Wealth Builder Funds, LLCJan 2024 to Nov 2025
- Significant Wealth Partners LLCMay 2018 to Jan 2026
- Capital Management Consultants, Inc.Sep 2016 to Sep 2022
- Atkins & AssociatesDec 2007 to Dec 2023
- Essence Capital GroupDec 2007 to Jun 2017
Exams passed
- Series 65 · Uniform Investment Adviser Law2016
State registrations
Registered as an investment adviser representative in 2 states (IL, TX).
Stephen Smith Financial Inc.
$129MAssets managed
160Clients
2Advisers
Under 1 yearIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6713437
- Firm CRD
- 339402