Stephen Smith
Stephen Smith is a registered investment advisor at USA Financial Securities Corporation, based in Jefferson City, MO, with 24 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 1,750 clients with $300M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
USA Financial Securities offers two advisory account management options:
- Transaction-based pricing: You pay a lower custodial and administrative fee, plus individual transaction fees.
- Asset-based pricing: You pay a higher custodial and administrative fee that includes transaction costs. This is best for clients who anticipate moderate to high levels of trading activity.
Representatives may also provide access to third-party money managers. The fees for these managers vary and are disclosed in their own brochures. Representatives may also offer customized financial strategies with varying fee structures, detailed in the representative's disclosure supplement. The maximum management fee charged by USA Financial Securities is 2.7%.
Location
101 E. McCarty St., Jefferson City, MO, 65101
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen sells fixed insurance products, including life, health, disability, annuities, and long-term care, through various companies and Winter-Dent and Company, dedicating nearly full-time hours to these activities. He also serves as Director of Growth & Human Development for St. Raymond's Society, a non-profit, and works as a Financial Professional for Winter-Dent FS.
Employment History
Current Registrations
USA Financial Securities Corporation
USA Financial Securities LLCBroker
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisor Networks LLC
Cetera Wealth Services, LLCBroker
State Farm Vp Management CORP.Broker
Walnut Street Securities, INC.Broker
Pruco Securities CorporationBroker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.