Stephen Smith Email & Phone Number
Chief Compliance Officer @ Kestra Investment Management
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Stephen Smith Location
- Austin, TX, US
Stephen Smith Work
- 2024 -now Chief Compliance Officer @
- 2020 -now Head of Advisory Compliance @
- 2017 -2020 Assistant Vice President and CCO - RIA @ 1st Global
- 2015 -2017 Chief Compliance Officer - RIA @ 1st Global
- 2007 -2015 Director of Advisory Compliance and Centralized Compliance Controls @ 1st Global
- 2005 -2007 Regulatory Control Director @ 1st Global (member FINRA and SIPC)
- 2002 -2005 Compliance Analyst @ 1st Global
- 2000 -2002 Field Compliance Supervisor, Managing Principal @
- 1997 -1999 Investigator III @ Texas State Securities Board
Stephen Smith Education
- Texas A&M University
Bachelor’s Degree (Journalism)
Stephen Smith Skills
- Anti Money Laundering
- Advisory
- Grassroots Organizing
- New Business Development
- Leadership
- Legislation
Stephen Smith Summary
- Stephen Smith, based in Austin, TX, US, is currently a Chief Compliance Officer at Kestra Investment Management. Stephen Smith brings experience from previous roles at Kestra Financial and 1st Global. Stephen Smith holds a Bachelor’s Degree in Journalism @ Texas A&M University. With a robust skill set that includes Anti Money Laundering, Advisory, Grassroots Organizing, New Business Development, Leadership and more. Stephen Smith has 2 emails and 3 mobile phone numbers on RocketReach.
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Top Kestra Investment Management Employees
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