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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

STEVEN ANDREW SMITH

Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC

Fishers, IN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 11, 2008 to Sep 14, 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: TRANSAMERICA RETIREMENT ADVISORS, 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 11, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 14, 2022
First registration: Jan 11, 2008
Dual registered: yes, broker-dealer
Other names: STEVE SMITH|STEVE ANDREW SMITH
IAPD individual key: 2472129

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
TRANSAMERICA RETIREMENT ADVISORS, LLC	Bd affiliated wealth	Jun 22, 2022	n/a	yes	Fishers, IN	Current employment
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Mar 27, 2015	Aug 4, 2015	no	INDIANAPOLIS, IN	Previous registration
CS CAPITAL MANAGEMENT INC	Former SEC adviser	Sep 11, 2012	May 28, 2015	no	INDIANAPOLIS, IN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 8, 2011	Aug 2, 2012	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|GREENFIELD, IN\|INDIANAPOLIS, IN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2009	Jun 13, 2011	no	FISHERS, IN\|FORT MILL, SC\|FISHERS, IN\|INDIANAPOLIS, IN\|FISHERS, IN\|INDIANAPOLIS, IN\|GREENWOOD, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|FISHERS, IN\|GREENFIELD, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|FISHERS, IN\|INDIANAPOLIS, IN\|FRANKLIN, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 9, 2009	Dec 1, 2009	no	FISHERS, IN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jan 11, 2008	Oct 2, 2009	no	NOBLESVILLE, IN\|NOBLESVILLE, IN\|INDIANAPOLIS, IN	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
UNITED CAPITAL FINANCIAL ADVISORS	TRANSAMERICA RETIREMENT ADVISORS, LLC	Aug 4, 2015	Jun 22, 2022	2,514	Firm change after gap	Other
CS CAPITAL MANAGEMENT INC	UNITED CAPITAL FINANCIAL ADVISORS	May 28, 2015	Mar 27, 2015	-62	Firm change after gap	Other
FIFTH THIRD SECURITIES, INC.	CS CAPITAL MANAGEMENT INC	Aug 2, 2012	Sep 11, 2012	40	Firm change	Other
LPL FINANCIAL LLC	FIFTH THIRD SECURITIES, INC.	Jun 13, 2011	Jun 8, 2011	-5	Firm change	Other
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Dec 1, 2009	Nov 30, 2009	-1	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	INVEST FINANCIAL CORPORATION	Oct 2, 2009	Nov 9, 2009	38	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
106328:134600:IN:2015-05-28	May 28, 2015	Mar 27, 2015	INDIANAPOLIS, IN	Firm change after gap

Relationships

Registered with (7)

→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: current employment
Jun 22, 2022 to presentfactForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Mar 27, 2015 to Aug 4, 2015factForm ADV
→ CS CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Sep 11, 2012 to May 28, 2015factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 8, 2011 to Aug 2, 2012factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 30, 2009 to Jun 13, 2011factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 9, 2009 to Dec 1, 2009factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jan 11, 2008 to Oct 2, 2009factForm ADV

Dated events

No dated event names this entity yet.