Gregory M. 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.
Gregory Mark Smith, who also goes by Gregory Smith, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1990. Gregory had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2016 - June 19, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
August 12, 2016 - June 19, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
December 23, 2013 - April 6, 2015
OSAIC FA, INC.
September 24, 2013 - April 6, 2015
OSAIC FA, INC.
February 3, 2010 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 28, 2006 - December 15, 2009
SLD AMERICA EQUITIES, INC.
June 28, 2006 - January 5, 2010
VOYA FINANCIAL ADVISORS, INC.
April 17, 2003 - March 6, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 6, 2001 - July 1, 2002
INVESTORS BROKERAGE SERVICES, INC.
May 24, 1995 - January 21, 1999
ALFS, INC.
January 18, 1990 - September 4, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
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
Current 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.
