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STEVEN MICHIO SMAILES
STEVE MICHIO SMAILES
CRD#: 2672723
IA
B
THE AMERIFLEX GROUPCRD#: 305585 2535 Townsgate Rd.
Suite 203
Westlake Village, CA 91361
Suite 203
Westlake Village, CA 91361
OSAIC WEALTH, INC.CRD#: 23131 2535 TOWNSGATE RD.
STE 203
WESTLAKE VILLAGE, CA 91361
STE 203
WESTLAKE VILLAGE, CA 91361
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Arizona 9/1/2023
B
Nevada 9/1/2023
IA
California 4/22/2020
B
Oregon 9/1/2023
B
California 9/1/2023
IA
Texas 11/1/2022
B
Florida 9/1/2023
B
Texas 9/1/2023
B
Idaho 9/1/2023
B
Utah 9/1/2023
B
Illinois 10/30/2024
SRO Registrations
B
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Learn about permitted activities of registered representatives
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IA
Registered with this firm since 4/22/2020
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/03/2019 - 09/01/2023 | WESTLAKE VILLAGE, CA | |
IA | 06/04/2019 - 09/09/2020 | WESTLAKE VILLAGE, CA | |
IA | 12/14/2015 - 06/03/2019 | WESTLAKE VILLAGE, CA | |
B | 12/09/2015 - 05/31/2019 | San Ramon, CA | |
IA | 11/06/2013 - 11/18/2015 | OXNARD, CA | |
B | 09/04/2013 - 11/18/2015 | OXNARD, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.