Advisor at Regal Advisory Services, Inc.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Regal Advisory Services, Inc.
Location
Little Rock, AR 72205
Credentials
Series 63, Series 65
Industry experience
42 years
Steven Smith is a financial advisor at Regal Advisory Services, Inc. in Little Rock, AR, holding Series 63 and Series 65 licenses with 42 years of industry experience. He has been with Regal Advisory Services and its affiliated broker-dealer, Regal Securities, since 2007. Regal Advisory Services serves individuals, corporations, retirement plans, trusts, foundations, and other institutional clients with a range of investment and advisory services. The firm manages approximately $113.5 million in assets across 285 client relationships and employs a blend of fundamental and quantitative research tailored to client objectives and risk tolerance.
Based on Regal Advisory Services, Inc.
Based on Regal Advisory Services, Inc.
Fixed financial planning fees generally range from $1,000 to $10,000
Transaction fees charged per securities transaction with premiums added by Regal Securities; commissions earned on securities transactions by Regal Securities; insurance product commissions
Financial planning fees generally range from $100 to $275 per hour
Ongoing financial planning retainer fee generally ranges from $5,000 to $10,000 annually, billed quarterly
2725 Cantrell Rd, Ste 201
Little Rock, AR 72205
Arkansas
Regal Advisory Services
2007 - Present (19 years)
Regal Securities
2007 - Present (19 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®
Little Rock, AR
Sound Capital
Will founded Sound Capital in 2019, after more than 7 years in the wealth management industry. Prior to launching Sound Capital, he spent one year advising military families at the Little Rock Air Force Base and 6 years working as a Financial Consultant at Stephens Inc. He earned a Bachelor of Science in Finance and General Business from the University of Arkansas in Fayetteville and his Master of Business Administration from the University of Arkansas in Little Rock. He holds the designation of Certified Financial Planner (CFP®). Will is an Arkansas native who enjoys spending time with his wife, Liz, and their daughters, Finley and Jemma. You can typically find Will at the zoo, Museum of Discovery, or a park with his family. He enjoys going out to eat, watching movies, and traveling on those rare occasions away from his kids. “I enjoy working with people and trying to make their lives better. I want my clients to know that they are an extension of my family. I am grateful that they have asked me to grow with them, not only financially but personally and professionally. ”
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Series 66
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Series 63, Series 65
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