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Steven Maier Smith

Regal Advisory Services, Inc.

Glenview, IL

Little Rock, AR

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Current Employers
Regal Advisory Services, Inc.

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2007-07-25
  • AR RA
    APPROVED
    Since 2007-07-25

Branch Locations

950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771 • United States

2725 Cantrell Rd Ste 201, Little Rock, AR 72205 • 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
Regal Securities Little Rock AR 06/2007 Present
Regal Advisory Services Little Rock AR 07/2007 Present
  • 06/2007 → Present
    Regal Securities
    Little Rock, AR
  • 07/2007 → Present
    Regal Advisory Services
    Little Rock, AR
Previous Registrations
  • 2003-03-10 → 2007-07-03
    Brookstreet Securities Corporation
    Little Rock, AR
    Little Rock, AR
  • 1997-08-04 → 2003-02-03
    Morgan Keegan & Company, Llc
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-14
S63 Uniform Securities Agent State Law Examination 1983-08-31
  • S65 Uniform Investment Adviser Law Examination
    1994-07-14
  • S63 Uniform Securities Agent State Law Examination
    1983-08-31

View on SEC IAPD

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Other Offices

COYLE · GLENVIEW, IL
ARIS INVESTING · GLENVIEW, IL
GLENVIEW FINANCIAL GROUP LLC · GLENVIEW, IL
BREAKOUT PRIVATE WEALTH LLC · GLENVIEW, IL
MERINO WEALTH MANAGEMENT · GLENVIEW, IL
MORGAN STANLEY · Glenview, IL
LIFEWORKS ADVISORS, LLC · Glenview, IL
SOUTH BAY FINANCIAL PARTNERS · Glenview, IL

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