Kent M. Smith

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CRD#: 1048499

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.

Kent Matthew Smith was a registered financial professional .

Kent is a previously registered financial professional and started their career in finance in 1982. Kent had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 25, 2017 - March 8, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

February 1, 2016 - March 8, 2018

SCOTTRADE, INC.

CRD#: 8206

COLUMBUS, OH

Past

July 28, 2014 - March 2, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

COLUMBUS, OH

Past

July 25, 2014 - March 2, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

COLUMBUS, OH

Past

March 26, 2012 - July 8, 2014

EDWARD JONES

RIA

CRD#: 250

DUBLIN, OH

Past

March 23, 2012 - July 8, 2014

EDWARD JONES

CRD#: 250

DUBLIN, OH

Past

December 23, 2010 - January 9, 2012

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

COLUMBUS, OH

Past

December 10, 2010 - April 2, 2012

LPL FINANCIAL LLC

CRD#: 6413

COLUMBUS, OH

Past

June 1, 2009 - July 15, 2010

MORGAN STANLEY

RIA

CRD#: 149777

DUBLIN, OH

Past

June 1, 2009 - July 15, 2010

MORGAN STANLEY

CRD#: 149777

DUBLIN, OH

Past

May 29, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DUBLIN, OH

Past

May 8, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DUBLIN, OH

Past

January 15, 1993 - October 16, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 28, 1982 - January 23, 1993

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2008

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 6/17/1994

National Commodity Futures Examination

Current Firm

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE INVESTMENT MANAGEMENT | SCOTTRADE INVESTMENT MANAGEMENT, INC.

CRD#: 169988 / SEC#: 801-79217

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Contact information

Main Address

700 Maryville Centre Drive, Saint Louis, MO 63141

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADVISOR ACCESS FROM SCOTTRADE INVESTMENT MANAGEMENT (1/2/2018)

GUIDANCE SOLUTIONS FROM SCOTTRADE INVESTMENT MANAGEMENT (12/6/2017)

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.

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Advisor Monitoring

Firm Stability Insights

Kent M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SCOTTRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

EDWARD JONES

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

FIFTH THIRD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2008

Series 63

Date: 7/30/1982

SIE

Date: 3/8/2018

Series 7

Date: 5/7/2008

Series 3

Date: 6/17/1994

Current Firm

SCOTTRADE INVESTMENT MANAGEMENT

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

SCOTTRADE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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