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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

STEPHEN GARRETT SMITH

Advisor at KESTRA ADVISORY SERVICES, LLC

AUSTIN, TX | Lakeway, TX | Austin, TX

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Search this name across graphsid dfx:ria:3f061bb0-5e9f-20d5-7f1b-0aa67f75ac30

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 19, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KESTRA ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Jan 29, 2001
First registration: May 19, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4222732

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KESTRA INVESTMENT MANAGEMENT, LLC.	Asset manager	Oct 7, 2024	n/a	yes	Austin, TX\|Lakeway, TX	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Jan 29, 2020	n/a	yes	AUSTIN, TX\|Lakeway, TX	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Oct 25, 2019	Jan 13, 2020	no	IRVING, TX	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Aug 13, 2007	Oct 25, 2019	no	DALLAS, TX\|DALLAS, TX	Previous registration
HILLTOP SECURITIES ASSET MANAGEMENT, LLC	Institutional manager	Jul 18, 2007	Aug 8, 2007	no	DALLAS, TX	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	May 19, 2006	Jul 18, 2007	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	KESTRA ADVISORY SERVICES, LLC	Jan 13, 2020	Jan 29, 2020	16	Firm change	Ibd to ibd
1ST GLOBAL ADVISORS INC	AVANTAX ADVISORY SERVICES	Oct 25, 2019	Oct 25, 2019	0	Bulk transfer	Ibd to ibd
HILLTOP SECURITIES ASSET MANAGEMENT, LLC	1ST GLOBAL ADVISORS INC	Aug 8, 2007	Aug 13, 2007	5	Firm change	Other
1ST GLOBAL ADVISORS INC	HILLTOP SECURITIES ASSET MANAGEMENT, LLC	Jul 18, 2007	Jul 18, 2007	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104556:283330:TX:2020-01-02	Jan 13, 2020	Jan 29, 2020	IRVING, TX	Firm change

Relationships

Registered with (5)

→ KESTRA INVESTMENT MANAGEMENT, LLC.Registered adviserregistration: current employment
Oct 7, 2024 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jan 29, 2020 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 25, 2019 to Jan 13, 2020factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Aug 13, 2007 to Oct 25, 2019factForm ADV
→ HILLTOP SECURITIES ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 18, 2007 to Aug 8, 2007factForm ADV

Dated events

No dated event names this entity yet.