Stephen Smith Email & Phone Number
Chief Compliance Officer @ Kestra Investment Management
5 free lookup(s).
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
Stephen Smith
Chief Compliance Officer
Austin, TX, US
Michael Humbert
Portfolio Manager
Austin, TX, US
Kara Murphy
Chief Investment Officer
Austin, TX, US
Alec Randolph
Investment Specialist
Austin, TX, US
John Choquette
Investment Analyst, Portfolio Management
Austin, TX, US
Courtney H.
Anti-Money Laundering Analyst
Phoenix, AZ, US
Amelia Hammond
Senior Trader
Austin, TX, US
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