Scott P. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Preston Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1981. Scott had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3, Series 15, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2013 - February 1, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
March 25, 2013 - February 1, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
January 26, 2012 - October 2, 2012
PERRITT CAPITAL MANAGEMENT INC
May 20, 2008 - August 31, 2009
WINTRUST INVESTMENTS LLC
May 20, 2008 - August 31, 2009
WINTRUST INVESTMENTS LLC
February 18, 2005 - March 27, 2008
FIFTH THIRD SECURITIES, INC.
January 25, 2005 - March 27, 2008
FIFTH THIRD SECURITIES, INC.
May 28, 2004 - January 13, 2005
TRADINGBLOCK
December 10, 2003 - May 28, 2004
CARIS & COMPANY, INC.
May 7, 2002 - November 21, 2003
DELANO GROUP SECURITIES, L.L.C.
June 7, 1999 - April 3, 2002
GRUNTAL & CO., L.L.C.
June 14, 1995 - June 11, 1999
A. G. EDWARDS & SONS, INC.
July 31, 1992 - June 26, 1995
CANTOR FITZGERALD & CO.
February 13, 1987 - August 22, 1988
ROBERT W. BAIRD & CO. INCORPORATED
June 19, 1985 - February 21, 1987
WILLIAM BLAIR
April 12, 1983 - October 11, 1985
THE CHICAGO CORPORATION
December 24, 1981 - April 13, 1983
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 5/17/1984
Foreign Currency Options ExaminationCurrent Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2024 | ||
| 01/25/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
