Stephen Smith Email & Phone Number
Chief Compliance Officer @ Kestra Investment Management
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Stephen Smith Location
- Austin, TX, US
Stephen Smith Work
- Chief Compliance Officer @ (August 2024 - Present)
- Head of Advisory Compliance @ (January 2020 - Present)
- Assistant Vice President and CCO - RIA @ 1st Global (December 2017 - January 2020)
- Chief Compliance Officer - RIA @ 1st Global (December 2015 - December 2017)
- Director of Advisory Compliance and Centralized Compliance Controls @ 1st Global (January 2007 - December 2015)
- Regulatory Control Director @ 1st Global (member FINRA and SIPC) (January 2005 - January 2007)
- Compliance Analyst @ 1st Global (June 2002 - January 2005)
- Field Compliance Supervisor, Managing Principal @ (January 2000 - January 2002)
- Investigator III @ Texas State Securities Board (June 1997 - June 1999)
Stephen Smith Education
- Texas A&M University
Bachelor’s Degree (Journalism)
1994
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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