Individual Firm
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STEPHEN MICHAEL SMITH
STEPHEN M SMITH
CRD#: 5636773
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 1108 BARCLAY BLVD
SUITE C-D
MARLTON, NJ 08053
SUITE C-D
MARLTON, NJ 08053
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10/1/2013
Customer Dispute
Settled
State Registrations
B
Delaware 1/2/2019
B
North Carolina 7/7/2023
B
Minnesota 3/17/2023
B
Pennsylvania 12/13/2018
B
New Jersey 12/12/2018
B
South Carolina 8/12/2024
IA
New Jersey 12/12/2018
B
Texas 6/10/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/12/2018
B
Registered with this firm since 12/11/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/25/2015 - 11/27/2018 | MARLTON, NJ | |
B | 11/06/2015 - 11/27/2018 | MARLTON, NJ | |
IA | 10/08/2014 - 11/03/2015 | PHILADELPHIA, PA | |
B | 10/07/2014 - 11/03/2015 | Philadelphia, PA | |
IA | 06/01/2009 - 10/03/2014 | PHILADELPHIA, PA | |
B | 04/07/2009 - 10/03/2014 | PHILADELPHIA, PA |
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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.