Unclaimed Profile

Stephen Ward Chaffin

SMITH CAPITAL MANAGEMENT INC·LITTLE ROCK, Arkansas

Series 3, Series 5, Series 7, Series 15, Series 63, Series 65Clean record30 years registeredSMITH CAPITAL MANAGEMENT INC

100 RIVER BLUFF DRIVE, SUITE 410, LITTLE ROCK, AR 72202CRD# 1052886Firm CRD# 104924

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Ward Chaffin · LITTLE ROCK, AR

Registration

CRD #1052886 · SMITH CAPITAL MANAGEMENT INC · 30 years registered

Brand Profile

Not yet started

Career History

MAI CAPITAL MANAGEMENT, LLC

Jan 2021 – present

SMITH CAPITAL MANAGEMENT INC

Mar 1996 – Dec 2020

LITTLE ROCK, AR

Registrations & Exams

FINRA examinations passed

Series 3

Series 5

Series 7

Series 15

Series 63

Series 65

Registration record

First registered · March 1, 1996

Years registered · 30

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SMITH CAPITAL MANAGEMENT INC

CRD 104924 · SEC 801-21681

AUM

$504M

Regulatory assets under management

Employees

877 client accounts

Services offered by SMITH CAPITAL MANAGEMENT INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SMITH CAPITAL MANAGEMENT INC →

Introduction

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Frequently Asked Questions

What services does Stephen Ward Chaffin offer?

Stephen Ward Chaffin specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in LITTLE ROCK, Arkansas for a consultation.

What are Stephen Ward Chaffin's credentials?

Stephen Ward Chaffin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Ward Chaffin located?

Stephen Ward Chaffin is based in LITTLE ROCK, Arkansas, working with SMITH CAPITAL MANAGEMENT INC. Their office serves clients in the LITTLE ROCK metropolitan area and surrounding communities.

How does Stephen Ward Chaffin charge for services?

Stephen Ward Chaffin's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SMITH CAPITAL MANAGEMENT INC?

SMITH CAPITAL MANAGEMENT INC has approximately 6 employees and manages $504M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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