Heather A. Smith
Professional summary
Heather Alison Smith, who also goes by Heather Howland, Heather Alison Howland, Heather Allison Saul, Heather Alison Saul, Heather Howland Saul, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Conroe, Texas.
Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Heather has worked at 10 firms and has passed the Series 66, Series 63, Series 6TO, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Heather Alison Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heather Alison Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415April 2, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415May 15, 2023 - April 1, 2024
LPL ENTERPRISE, LLC
February 5, 2021 - April 1, 2024
LPL FINANCIAL LLC
February 5, 2021 - April 1, 2024
LPL FINANCIAL LLC
April 22, 2016 - December 18, 2020
KESTRA ADVISORY SERVICES, LLC
December 11, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
December 11, 2014 - December 18, 2020
KESTRA INVESTMENT SERVICES, LLC
March 5, 2007 - January 17, 2014
VALIC FINANCIAL ADVISORS, INC.
August 25, 2003 - January 17, 2014
VALIC FINANCIAL ADVISORS, INC.
December 19, 2002 - August 26, 2003
STATE FARM VP MANAGEMENT CORP.
August 29, 2000 - November 29, 2001
SANDERS MORRIS LLC
May 27, 1998 - August 19, 1999
IDS LIFE INSURANCE COMPANY
May 27, 1998 - August 19, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
(4/2/2024)
(4/2/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
