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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

STEPHEN MICHAEL SMITH

Advisor at ESI FINANCIAL ADVISORS

MARLTON, NJ | MEDIA, PA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 1, 2009 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: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 16, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 16, 2009
First registration: Jun 1, 2009
Dual registered: yes, broker-dealer
Other names: STEPHEN M SMITH
IAPD individual key: 5636773

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
ESI FINANCIAL ADVISORS	Independent wealth	Dec 12, 2018	n/a	yes	MEDIA, PA\|MARLTON, NJ	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Nov 25, 2015	Nov 27, 2018	no	MARLTON, NJ	Previous registration
MCADAM LLC	Independent wealth	Oct 8, 2014	Nov 3, 2015	no	RADNOR, PA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jun 1, 2009	Oct 3, 2014	no	PHILADELPHIA, PA	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
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Nov 27, 2018	Dec 12, 2018	15	Firm change	Ibd to ibd
MCADAM LLC	PRUCO SECURITIES, LLC	Nov 3, 2015	Nov 25, 2015	22	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	MCADAM LLC	Oct 3, 2014	Oct 8, 2014	5	Bulk transfer	Other

Relationships

Registered with (4)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: current employment
Dec 12, 2018 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 25, 2015 to Nov 27, 2018factForm ADV
→ MCADAM LLCRegistered adviserregistration: previous registration
Oct 8, 2014 to Nov 3, 2015factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 3, 2014factForm ADV

Dated events

No dated event names this entity yet.