Craig Small has been Vice President and Chief Compliance Officer of Symphony Financial Services since June 2008, is a control person of the firm and directly owns between 5% and 10% of it. Craig Small holds a Bachelor of Science in Business Administration (concentrations in Finance, Risk Management and Insurance) from The Ohio State University.
Symphony Financial Services, Inc. is an Akron, OH firm with $429M under management, 641 clients and 7 advisers across 2 offices, as of its February 2026 filing.
Craig M. Small is Vice President of Symphony Financial Services, Inc., based in Akron, Ohio. In addition to his client responsibilities, he serves as the firm's chief compliance officer. He joined Symphony Financial Services in 2008 after working as an agent with Northwestern Mutual Financial Network, and in 2020 he became the firm's first equity partner.
Craig Small’s longest registration is the current one, 17 years at Symphony Financial Services since 2009.
- LPL Financial LLC– · 1 yearFort Mill, SC · Adviser representative · Firm CRD 6413
- – present · 17 yearsAkron, OH · Adviser representative · Firm CRD 125058
Professional designations
Listed by Symphony Financial Services
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
Craig Small is registered as an investment adviser representative in Ohio, since February 2009.
- OhioSince 19 February 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 22 October 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 November 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 June 2011 |
| Series 7 | General Securities Representative Examination | 13 August 2008 |
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Craig Michael Small
- CRD
- 5338171
- Firm
- Symphony Financial Services · CRD 125058
- Role
- Vice President and Chief Compliance Officer
- Office
- 4100 Embassy Parkway, SUITE 100, Akron, OH 44333
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- symphony-financial.com
Where does Craig Small work?
Craig Small has been Vice President and Chief Compliance Officer of Symphony Financial Services, Inc. since June 2008, and is a control person of the firm.
Is Craig Small a financial advisor?
Yes. Craig Small has a current investment-adviser registration in Ohio, through Symphony Financial Services since February 2009.
How many years of experience does Craig Small have?
Craig Small has 18 years in the financial industry, since August 2008, across 2 adviser firms.
What exams has Craig Small passed?
Craig Small has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 24. The earliest, the Series 7, was passed in August 2008. FINRA credited Craig Small with the SIE, which began in October 2018.
Where is Craig Small based?
Craig Small’s registered office is in Akron, OH.
Is Craig Small registered with FINRA?
Yes. Craig Small has a current broker registration, under CRD 5338171.
Source: FINRA BrokerCheck
Is Craig Small a CFA charterholder?
Symphony Financial Services lists Craig Small with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
Source: Craig M. Small, CFA biography, symphony-financial.com
How can I verify Craig Small’s record?
Search CRD 5338171 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Craig Small’s full registration record.