Stephen Smith

Stephen Smith Email and Phone Number

CCO - Kestra Investment Management, LLC @ Kestra Investment Management
Stephen Smith's Location
Austin, Texas, United States, United States
Stephen Smith's Contact Details

Stephen Smith personal email

About Stephen Smith

• Former examiner with the Texas State Securities Board;• Series 7, 66, 24 and Group 1 Insurance License;Securities offered through Kestra Investment Services, LLC. Member FINRA/SIPC. www.FINRA.org www.SIPC.org Investment advisory services offered through Kestra Advisory Services, LLCNon-selling/Administrative Only: Does not work with members of the general public or present/discuss investments, investment strategies or provide advisory services to members of the general public.

Stephen Smith's Current Company Details
Kestra Investment Management

Kestra Investment Management

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CCO - Kestra Investment Management, LLC
Stephen Smith Work Experience Details
  • Kestra Investment Management
    Head Of Advisory Compliance And Cco Of Kestra Investment Management, Llc
    Kestra Investment Management Aug 2024 - Present
    Austin, Tx
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  • Kestra Financial
    Vp -Compliance
    Kestra Financial Jan 2020 - Aug 2024
    Austin, Texas, United States
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  • 1St Global
    Assistant Vice President And Cco - Ria
    1St Global Dec 2017 - Jan 2020
    Dallas/Fort Worth Area
  • 1St Global
    Chief Compliance Officer - Ria
    1St Global Dec 2015 - Dec 2017
    Dallas, Tx
  • 1St Global
    Director Of Advisory Compliance & Centralized Compliance Controls
    1St Global 2007 - Dec 2015
    Dallas, Tx
  • 1St Global (Member Finra And Sipc)
    Regulatory Control Director
    1St Global (Member Finra And Sipc) 2005 - 2007
  • 1St Global
    Compliance Analyst
    1St Global Jun 2002 - 2005
    Dallas, Tx
  • Ameriprise Financial Services, Inc.
    Field Compliance Supervisor, Managing Principal
    Ameriprise Financial Services, Inc. 2000 - 2002
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  • Texas State Securities Board
    Investigator Iii
    Texas State Securities Board Jun 1997 - Jun 1999

Stephen Smith Education Details

Frequently Asked Questions about Stephen Smith

What company does Stephen Smith work for?

Stephen Smith works for Kestra Investment Management

What is Stephen Smith's role at the current company?

Stephen Smith's current role is CCO - Kestra Investment Management, LLC.

What is Stephen Smith's email address?

Stephen Smith's email address is ss****@****ail.com

What is Stephen Smith's direct phone number?

Stephen Smith's direct phone number is +121429*****

What schools did Stephen Smith attend?

Stephen Smith attended Texas A&m University.

What are some of Stephen Smith's interests?

Stephen Smith has interest in Family, Writing, Home Renovation, Reading, Golf.

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