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Scott A. Smith
LADENBURG THALMANN ASSET MANAGEMENT
Boca Raton, FL 33431
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CRD#: 2652227
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Professional summary
Scott Allan Smith is a registered financial advisor currently at LADENBURG THALMANN ASSET MANAGEMENT INC located in Boca Raton, Florida and LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Scott has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Allan Smith's 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®
NoneExperience
Current
September 29, 2004 - Present
LADENBURG THALMANN ASSET MANAGEMENT INC
Office #1: 2255 Glades Road, Suite 324a Office #20, Boca Raton, FL 33431RIA
CRD#: 108604
Boca Raton, FL
Current
November 20, 2002 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431BD
CRD#: 505
Boca Raton, FL
Past
September 15, 1998 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, NY
Past
May 23, 1996 - August 28, 1998
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, NY
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".
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
Registered Investment Advisory firm - (10/16/1997 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.RR
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
RR
Alaska(11/20/2002)
IAR
Alaska(8/10/2021)
RR
California(11/20/2002)
RR
Colorado(11/20/2002)
IAR
Colorado(6/10/2021)
RR
Connecticut(11/20/2002)
RR
Florida(11/20/2002)
IAR
Florida(8/10/2021)
RR
Georgia(11/20/2002)
RR
Idaho(11/20/2002)
RR
Illinois(11/20/2002)
RR
Indiana(11/20/2002)
RR
Kentucky(11/20/2002)
RR
Louisiana(11/20/2002)
IAR
Louisiana(9/29/2004)
RR
Maryland(11/20/2002)
RR
Massachusetts(11/20/2002)
IAR
Massachusetts(6/24/2021)
RR
Michigan(11/20/2002)
IAR
Michigan(6/14/2021)
RR
Minnesota(11/20/2002)
RR
Missouri(11/20/2002)
RR
Nevada(7/25/2022)
RR
New Jersey(11/20/2002)
IAR
New Jersey(7/14/2025)
RR
New Mexico(11/20/2002)
IAR
New Mexico(6/10/2021)
RR
New York(11/20/2002)
IAR
New York(4/1/2021)
RR
North Carolina(11/20/2002)
RR
Ohio(11/20/2002)
RR
Oklahoma(11/20/2002)
IAR
Oklahoma(6/10/2021)
RR
Oregon(11/20/2002)
RR
Pennsylvania(11/20/2002)
IAR
Pennsylvania(6/10/2021)
RR
Rhode Island(6/6/2024)
IAR
Rhode Island(2/7/2025)
RR
South Carolina(11/20/2002)
RR
Texas(11/20/2002)
IAR
Texas(10/11/2004)
RR
Vermont(5/3/2024)
RR
Virginia(11/20/2002)
RR
Washington(11/20/2002)
RR
Wisconsin(11/20/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
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Contact information
Main Address
640 Fifth Avenue 4th Fl., New York, NY 10019
Mailing Address
Phone number
(800) 995-5267
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604Boca Raton, FL 33431TRUST BUT VERIFY
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Contact information
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