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Steven Scott Smith

Osaic Institutions, Inc.

China, ME

Bangor, ME

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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2019-10-25
  • ME RA
    APPROVED
    Since 2019-10-25

Branch Locations

368 Route 3, China, ME 04856 • United States

201 Main Street, Bangor, ME 04401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
People'S Securities, Inc. Bridgeport CT 01/2010 10/2019
People's United Advisors, Inc Bridgeport CT 05/2018 10/2019
Infinex Investments, Inc. Meriden CT 10/2019 Present
Bar Harbor Bank & Trust Bangor ME 10/2019 Present
  • 01/2010 → 10/2019
    People'S Securities, Inc.
    Bridgeport, CT
  • 05/2018 → 10/2019
    People's United Advisors, Inc
    Bridgeport, CT
  • 10/2019 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 10/2019 → Present
    Bar Harbor Bank & Trust
    Bangor, ME
Previous Registrations
  • 2010-01-27 → 2019-11-13
    People'S Securities, Inc.
    Bangor, ME
    Bangor, ME
    Bangor, ME
    Brewer, ME
    Orono, ME
    Newport, ME
    Pittsfield, ME
    Waterville, ME
    Bridgeport, CT
    Bridgeport, CT
    Orrington, ME
    Milford, ME
    Bangor, ME
  • 2018-05-21 → 2019-11-13
    People'S United Advisors, Inc.
    Bangor, ME
  • 2009-11-17 → 2010-01-08
    Td Wealth Management Services Inc.
    Bangor, ME
    Ellsworth, ME
    Bangor, ME
  • 2005-06-10 → 2009-11-17
    Cetera Investment Services Llc
    Bangor, ME
  • 2004-11-10 → 2005-06-20
    Voya Retirement Advisors, Llc
    Lewiston, ME
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-31
S63 Uniform Securities Agent State Law Examination 2002-09-28
  • S65 Uniform Investment Adviser Law Examination
    2004-03-31
  • S63 Uniform Securities Agent State Law Examination
    2002-09-28
Other Names
  • Steven Scott Smith
  • Steven S Smith

View on SEC IAPD

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