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STEVEN LEWIS SMITH
CRD#: 3003921
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1435 Loop 1604 West
Suite 101
San Antonio, TX 78217-6314
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - Present (17 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1999 - 2006 (6 years)BOLDE DISCOUNT CORPORATION (CRD# 5979)1998 - 1999 (1 year)IATD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2003 - 2006 (2 years)
License(s)

State Registrations

B
Alabama 3/26/2013

B
Missouri 3/1/2018

B
Arizona 2/26/2015

B
New Mexico 5/15/2018

B
California 4/22/2015

B
New York 1/4/2010

B
Colorado 1/19/2017

B
Ohio 3/28/2019

B
District of Columbia 3/28/2019

B
Oklahoma 3/28/2019

B
Florida 1/2/2013

B
Oregon 3/28/2019

B
Georgia 11/5/2012

B
Texas 6/29/2007

B
Illinois 1/4/2010

IA
Texas 6/29/2007

B
Maryland 9/18/2024

B
Wyoming 3/28/2019

B
Massachusetts 6/25/2024

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1435 Loop 1604 West Suite 101, San Antonio, TX 78217-6314
Registered with this firm since 6/29/2007

B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1435 Loop 1604 West Suite 101, San Antonio, TX 78217-6314
Registered with this firm since 6/29/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/09/2006 - 06/20/2007 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) SAN ANTONIO, TX
B
05/09/2006 - 06/20/2007 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) SAN ANTONIO, TX
IA
09/12/2003 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) SAN ANTONIO, TX
B
04/05/1999 - 02/01/2006 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
02/19/1998 - 04/12/1999 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
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B
Broker
IA
Investment Adviser
Disclosures
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.