Herbert C. Smith
KESTRA ADVISORY SERVICES
St. Louis, MO 63108
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CRD#: 427804
Professional summary
Herbert Carl Smith, CFP®, who also goes by Herbert Smith, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in St. Louis, Missouri and KESTRA INVESTMENT SERVICES, LLC located in Santa Fe, New Mexico.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1967. Herbert has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herbert 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.
Name: Piatchek & Smith, LLC dba Piatchek & Associates Inv Rel: Yes Address: 4969 Pershing Place #3 Saint Louuis MO 63108 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POS: Owner Start Date: 4/12/2003 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Overall management of the enterprise Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: HERBERT SMITH, SCORE MENTOR POS: Member, mentor NOB: Mentoring business owners INV REL: No # OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 02/12/2024 ADDRESS: 3900 Paseo del Sol, Suite A320, Santa Fe NM 87507 DESC: Meeting with small business owners and providing mentoring services.
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Carl 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®
CFP®
Start date: 1979
Experience
Current
June 1, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 4605 Lindell Blvd #1601, St. Louis, MO 63108RIA
CRD#: 283330
St. Louis, MO
Current
June 4, 2001 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Santa Fe, NM
Past
June 21, 2001 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
ST LOUIS, MO
Past
March 1, 1996 - July 26, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 27, 1978 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
February 12, 1975 - February 19, 1978
ACACIA EQUITY SALES CORPORATION
BD
CRD#: 5792
Past
October 16, 1967 - March 8, 1975
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
KA
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.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
California(3/4/2020)
RR
Florida(9/29/2016)
RR
Massachusetts(2/17/2022)
RR
Missouri(6/4/2001)
RR
New Mexico(6/4/2001)
IAR
New Mexico(11/2/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/26/1967
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
KA
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
