Brenton L. Smith

KESTRA ADVISORY SERVICES

CHARLOTTE, NC 28211

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CRD#: 2246178

Professional summary

Brenton Lohr Smith, who also goes by Brent Smith, Brenton L Smith, Brenton Lohr Smith, Brenton Smith, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.

Brenton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brenton has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brent Smith | Brenton L Smith | Brenton Lohr Smith | Brenton Smith

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.

Business Name: NFP POSITION: analyst NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2023 ADDRESS: 1901 Roxborough Rd, Suite 300, Charlotte NC 28211 DESCRIPTION: I will handle trading for the client accounts. Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: analyst at NFP NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2023 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenton Lohr Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 19, 2023 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

RIA

CRD#: 283330

CHARLOTTE, NC

Current

May 10, 2023 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211

CRD#: 42046

Charlotte, NC

Past

April 19, 2021 - May 2, 2022

UMERGENCE LLC

CRD#: 284368

PLANTSVILLE, CT

Past

June 8, 2018 - April 23, 2019

BB&T SECURITIES, LLC

RIA

CRD#: 142785

WAKE FOREST, NC

Past

June 8, 2018 - April 23, 2019

BB&T SECURITIES, LLC

CRD#: 142785

WAKE FOREST, NC

Past

September 19, 2014 - March 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENSBORO, NC

Past

August 28, 2014 - March 2, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENSBORO, NC

Past

October 1, 2008 - July 28, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 15, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 2, 2002 - April 15, 2004

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 27, 1996 - October 16, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 3, 1993 - May 9, 1994

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

June 19, 1992 - May 18, 1993

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(5/11/2023)

IAR

North Carolina
(5/19/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/18/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2014

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/12/1996

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

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
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Brenton L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenton Lohr Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

UMERGENCE LLC

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

BNP PARIBAS SECURITIES CORP.

CREDIT SUISSE SECURITIES (USA) LLC

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2023

Series 66

Date: 9/18/2014

Series 63

Date: 8/29/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2014

Series 3

Date: 9/12/1996

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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