Brenton L. 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.
Brenton Lohr Smith, who also goes by Brent Smith, Brenton L Smith, Brenton Lohr Smith, Brenton Smith, was a registered financial professional .
Brenton is a previously registered financial professional and started their career in finance in 1992. Brenton had worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2023 - May 20, 2026
KESTRA ADVISORY SERVICES, LLC
May 10, 2023 - May 20, 2026
KESTRA INVESTMENT SERVICES, LLC
April 19, 2021 - May 2, 2022
UMERGENCE LLC
June 8, 2018 - April 23, 2019
BB&T SECURITIES, LLC
June 8, 2018 - April 23, 2019
BB&T SECURITIES, LLC
September 19, 2014 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2014 - March 2, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2008 - July 28, 2011
J.P. MORGAN SECURITIES LLC
March 15, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 2, 2002 - April 15, 2004
BNP PARIBAS SECURITIES CORP.
March 27, 1996 - October 16, 2001
CREDIT SUISSE SECURITIES (USA) LLC
May 3, 1993 - May 9, 1994
BANC OF AMERICA SECURITIES LLC
June 19, 1992 - May 18, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
