Steven Smith has been an investment adviser representative at Wealth Advisory Solutions since September 2019, and is not listed among the firm’s executive officers or direct owners.
Wealth Advisory Solutions, LLC is a Zionsville, IN firm with $599M under management, 684 clients and 8 advisers across 4 offices, as of its March 2026 filing.
Steven Smith’s longest registration was 10 years at Wells Fargo Clearing Services, LLC (2009–2019). Before joining Wealth Advisory Solutions in 2019, Steven Smith was registered through Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc.
- – present · 7 yearsZionsville, IN · Adviser representative · Firm CRD 288903
- Wells Fargo Clearing Services, LLC– · 10 yearsIndianapolis, IN · Adviser representative · Firm CRD 19616
- Citigroup Global Markets Inc.– · 3 yearsIndianapolis, IN · Adviser representative · Firm CRD 7059
- UBS Financial Services Inc.– · 6 yearsIndianapolis, IN · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Steven Smith is registered as an investment adviser representative in Indiana, since September 2019.
- IndianaSince 30 September 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 9 December 1999 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 31 January 1995 |
| Series 3 | National Commodity Futures Examination | 17 October 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 March 1987 |
| Series 7 | General Securities Representative Examination | 15 November 1986 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Richard Smith
- CRD
- 1160933
- Firm
- Wealth Advisory Solutions · CRD 288903
- Office
- 1630 West Oak Street, Zionsville, IN 46077
- Registration
- Investment adviser registration
- In the industry since
- November 1986
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Smith work?
Steven Smith is an investment adviser representative registered through Wealth Advisory Solutions, LLC since September 2019, and is not listed among the firm’s executive officers or direct owners.
Is Steven Smith a financial advisor?
Yes. Steven Smith has a current investment-adviser registration in Indiana, through Wealth Advisory Solutions since September 2019.
How many years of experience does Steven Smith have?
Steven Smith has 39 years in the financial industry, since November 1986, across 4 adviser firms.
What exams has Steven Smith passed?
Steven Smith has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 8 and Series 65. The earliest, the Series 7, was passed in November 1986. FINRA credited Steven Smith with the SIE, which began in October 2018.
Where did Steven Smith work before Wealth Advisory Solutions?
Before Wealth Advisory Solutions, Steven Smith was registered through Citigroup Global Markets Inc., May 2006 to May 2009; UBS Financial Services Inc., February 2000 to May 2006.
Where is Steven Smith based?
Steven Smith’s registered office is in Zionsville, IN.
Is Steven Smith registered with FINRA?
No. Steven Smith has no current broker registration.
How can I verify Steven Smith’s record?
Search CRD 1160933 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Smith’s full registration record.
- Kimberly CusterManaging Member/CCO
- Tyler NeedlerManaging Member
- Steven KyburzManaging Member