Stephen Smith has been President / CCO of Stephen Smith Financial since October 2025, is a control person of the firm and directly owns 75% or more of it. Stephen Smith studied at Marquette University.
Stephen Smith Financial Inc. is a Schaumburg, IL firm with $129M under management, 160 clients and 2 advisers in one office, as of its July 2026 filing.
Stephen Smith is President of Stephen Smith Financial Inc. He is an Electrical & Computer Engineer who moved into finance. His retirement planning work connects wealth management, Social Security, taxes, estate planning and healthcare planning in a single strategy built around each client's goals.
Stephen Smith’s longest registration was 7 years at Significant Wealth Partners LLC (2018–2026). Before joining Stephen Smith Financial in 2025, Stephen Smith was registered through Ae Wealth Management, LLC and Wealth Builder Funds LLC.
- Stephen Smith Financial Inc.Current– present · under a yearSchaumburg, IL · Adviser representative · Firm CRD 339402
- Ae Wealth Management, LLC– · under a yearSchaumburg, IL · Adviser representative · Firm CRD 282580
- Wealth Builder Funds LLC– · 1 yearCary, IL · Adviser representative · Firm CRD 328782
- Significant Wealth Partners LLC– · 7 yearsCary, IL · Adviser representative · Firm CRD 293060
- Capital Management Consultants– · 7 yearsHawthorn Woods, IL · Adviser representative · Firm CRD 19935
Investment adviser representative registrations
Stephen Smith is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from December 2025; the most recent is Texas, in March 2026.
- IllinoisSince 3 December 2025
- TexasResidentSince 19 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 27 October 2016 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Stephen Richard Smith
- CRD
- 6713437
- Firm
- Stephen Smith Financial · CRD 339402
- Role
- President / CCO
- Office
- 1701 EAST WOODFIELD ROAD, SUITE 810, Schaumburg, IL 60173
- Registration
- Investment adviser registration
- In the industry since
- October 2016
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- stephensmithfinancial.com
Where does Stephen Smith work?
Stephen Smith has been President / CCO of Stephen Smith Financial Inc. since October 2025, and is a control person of the firm.
Is Stephen Smith a financial advisor?
Yes. Stephen Smith has a current investment-adviser registration in Illinois and Texas, through Stephen Smith Financial since December 2025.
How many years of experience does Stephen Smith have?
Stephen Smith has 9 years in the financial industry, since October 2016, across 5 adviser firms.
What exams has Stephen Smith passed?
Stephen Smith passed the Series 65 in October 2016.
Where did Stephen Smith work before Stephen Smith Financial?
Before Stephen Smith Financial, Stephen Smith was registered through Wealth Builder Funds LLC, January 2024 to November 2025; Capital Management Consultants, October 2016 to February 2024.
Where is Stephen Smith based?
Stephen Smith’s registered office is in Schaumburg, IL.
Is Stephen Smith registered with FINRA?
No. Stephen Smith has no current broker registration.
How can I verify Stephen Smith’s record?
Search CRD 6713437 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Smith’s full registration record.