Steven Smith has been an investment adviser representative at Regal Advisory Services since July 2007, and is not listed among the firm’s executive officers or direct owners.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
Steven Smith’s longest registration is the current one, 19 years at Regal Advisory Services since 2007. Before joining Regal Advisory Services in 2007, Steven Smith was registered through Brookstreet Capital Management and Morgan Keegan & Company, Inc.
- – present · 19 yearsLittle Rock, AR · Adviser representative · Firm CRD 123842
- Brookstreet Capital Management– · 4 yearsLittle Rock, AR · Adviser representative · Firm CRD 14667
- Morgan Keegan & Company, Inc.– · 5 yearsLittle Rock, AR · Adviser representative · Firm CRD 4161
Investment adviser representative registrations
Steven Smith is registered as an investment adviser representative in Arkansas, since July 2007.
- ArkansasSince 25 July 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 14 July 1994 |
| Series 3 | National Commodity Futures Examination | 8 August 1986 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 August 1983 |
| Series 7 | General Securities Representative Examination | 20 August 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Maier Smith
- CRD
- 1176036
- Firm
- Regal Advisory Services · CRD 123842
- Office
- 2725 CANTRELL RD, STE 201, Little Rock, AR 72205
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Smith work?
Steven Smith is an investment adviser representative registered through Regal Advisory Services, Inc. since July 2007, 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 Arkansas, through Regal Advisory Services since July 2007.
How many years of experience does Steven Smith have?
Steven Smith has 43 years in the financial industry, since September 1983, across 3 adviser firms.
What exams has Steven Smith passed?
Steven Smith has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in August 1983. FINRA credited Steven Smith with the SIE, which began in October 2018.
Where did Steven Smith work before Regal Advisory Services?
Before Regal Advisory Services, Steven Smith was registered through Brookstreet Capital Management, March 2003 to July 2007; Morgan Keegan & Company, Inc., August 1997 to February 2003.
Where is Steven Smith based?
Steven Smith’s registered office is in Little Rock, AR.
Is Steven Smith registered with FINRA?
Yes. Steven Smith has a current broker registration, under CRD 1176036.
Source: FINRA BrokerCheck
How can I verify Steven Smith’s record?
Search CRD 1176036 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Smith’s full registration record.