Scott R. 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 Robert Smith was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2017 - June 17, 2025
SFI ADVISORS, LLC
April 20, 2016 - May 16, 2017
KESTRA ADVISORY SERVICES, LLC
January 30, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 29, 2004 - May 16, 2017
KESTRA INVESTMENT SERVICES, LLC
March 4, 1993 - March 4, 2002
FAM DISTRIBUTORS, INC.
Primary Firm SEC Registration
SFI ADVISORS, LLC
CRD#: 287929 / SEC#: 801-110293
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
SFI ADVISORS, LLC
CRD#: 287929 / SEC#: 801-110293
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 301 |
| AUM (Assets Under Management) | $ 173,000,000 |
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.
