DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Steven Scott Smith
Feed of 09/15/2026
Also filed as Steven Scott Smith
At current firm
6 y
since Oct 25, 2019
In the industry
23 y
since Sep 28, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Institutions, Inc. BD affiliated currentsince Oct 25, 2019 · China, Me
- People'S United Advisors, Inc. formerMay 21, 2018 to Nov 13, 2019 · Bangor, Me
- People'S Securities, Inc. formerJan 27, 2010 to Nov 13, 2019 · Bangor, Me
- Td Wealth Management Services Inc. unclassifiedNov 17, 2009 to Jan 8, 2010 · Bangor, Me
- Cetera Investment Services LLC formerJun 10, 2005 to Nov 17, 2009 · Bangor, Me
- Voya Retirement Advisors, LLC otherNov 10, 2004 to Jun 20, 2005 · Lewiston, Me
Moves
a registration end followed by a registration begin elsewhere
- People'S Securities, Inc. to People'S United Advisors, Inc.left Nov 13, 2019, registered May 21, 2018 (-541 days) · Other
- People'S United Advisors, Inc. to Osaic Institutions, Inc.left Nov 13, 2019, registered Oct 25, 2019 (-19 days) · RIA to affiliated broker-dealer or bank
- Td Wealth Management Services Inc. to People'S Securities, Inc.left Jan 8, 2010, registered Jan 27, 2010 (19 days) · Other
- Cetera Investment Services LLC to Td Wealth Management Services Inc.left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- Voya Retirement Advisors, LLC to Cetera Investment Services LLCleft Jun 20, 2005, registered Jun 10, 2005 (-10 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address