Head Of Advisory Compliance And Cco Of Kestra Investment Management, Llc
Current
Aug 2024 - Present
AeroLeads people directory · profile
Stephen Smith Email & Phone Number
CCO - Kestra Investment Management, LLC
at
Kestra Investment Management
1 work email found
@kestrafinancial.com
3 phones found area 214
LinkedIn matched
✓ Verified Jul 2026
4 data sources
Profile completeness 86%
Current company
Role
CCO - Kestra Investment Management, LLC
Location
Austin, Texas, United States
Who is Stephen Smith? Overview
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Quick answer
Stephen Smith is listed as CCO - Kestra Investment Management, LLC at Kestra Investment Management, based in Austin, Texas, United States. AeroLeads shows a work email signal at kestrafinancial.com, phone signal with area code 214, and a matched LinkedIn profile for Stephen Smith.
Stephen Smith previously worked as Head of Advisory Compliance and CCO of Kestra Investment Management, LLC at Kestra Investment Management and VP -Compliance at Kestra Financial. Stephen Smith holds Bachelor’S Degree, Journalism from Texas A&M University.
Company email context
Email format at Kestra Investment Management
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{first}.{last}@kestrafinancial.com
86% confidence
AeroLeads found 1 current-domain work email signal for Stephen Smith. Compare company email patterns before reaching out.
Profile bio
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.
Current workplace
Stephen Smith's current company
Company context helps verify the profile and gives searchers a useful next step.
9 roles · 27 years
Stephen Smith work experience
A career timeline built from the work history available for this profile.
Vp -Compliance
Jan 2020 - Aug 2024
Assistant Vice President And Cco - Ria
1St Global
Dec 2017 - Jan 2020
Chief Compliance Officer - Ria
1St Global
Dec 2015 - Dec 2017
Director Of Advisory Compliance & Centralized Compliance Controls
1St Global
2007 - Dec 2015
Regulatory Control Director
1St Global (Member Finra And Sipc)
2005 - 2007
~2 yrs
Compliance Analyst
1St Global
Jun 2002 - 2005
Field Compliance Supervisor, Managing Principal
2000 - 2002
~2 yrs
Investigator Iii
Texas State Securities Board
Jun 1997 - Jun 1999
1 education record
Stephen Smith education
FAQ
Frequently asked questions about Stephen Smith
Quick answers generated from the profile data available on this page.
What company does Stephen Smith work for?
Stephen Smith works for Kestra Investment Management.
What is Stephen Smith's role at Kestra Investment Management?
Stephen Smith is listed as CCO - Kestra Investment Management, LLC at Kestra Investment Management.
What is Stephen Smith's email address?
AeroLeads has found 1 work email signal at @kestrafinancial.com for Stephen Smith at Kestra Investment Management.
What is Stephen Smith's phone number?
AeroLeads has found 3 phone signal(s) with area code 214 for Stephen Smith at Kestra Investment Management.
Where is Stephen Smith based?
Stephen Smith is based in Austin, Texas, United States while working with Kestra Investment Management.
What companies has Stephen Smith worked for?
Stephen Smith has worked for Kestra Investment Management, Kestra Financial, 1St Global, 1St Global (Member Finra And Sipc), and Ameriprise Financial Services, Inc..
How can I contact Stephen Smith?
You can use AeroLeads to view verified contact signals for Stephen Smith at Kestra Investment Management, including work email, phone, and LinkedIn data when available.
What schools did Stephen Smith attend?
Stephen Smith holds Bachelor’S Degree, Journalism from Texas A&M University.
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