Stephen Smith

AVP, RIA Compliance

Steve Smith is the assistant vice president of RIA (advisory) compliance, and in this role he ensures compliance with state and federal regulatory requirements, acts as a liaison between the firm and the regulatory authorities, and provides training and education to financial advisors and company employees. 

Steve joined 1st Global in 2002 and previously served as the regulatory control director, offering leadership, direction and oversight to groups within the organization that are responsible for supervision and surveillance of financial advisors and their activities. Prior to 1st Global, he was an investigator with the Texas State Securities Board to ensure registered dealers and investment advisors were in compliance with the Texas Securities Act.

Steve received his Bachelor of Science degree in journalism from Texas A&M University and originally entered the industry to help the investing public navigate through the complexities of financial services. His current role allows him to help the firm and financial advisors adhere to the various rules that govern industry behavior, and he enjoys knowing he plays a part in the process of helping others retire with dignity. He has passed his FINRA Series 7, 24 and 66 exams and is a licensed insurance agent.