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Scott J. Smith
GALLAGHER FIDUCIARY ADVISORS
Cleveland, OH 44113
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CRD#: 4453476
SS
Professional summary
Scott J Smith is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Cleveland, Ohio and OSAIC WEALTH, INC. located in Cleveland, Ohio.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.
1) Business Name: Gallagher Fiduciary Advisors Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Investment Consulting Position: Area Vice President / Investment Advisor Representative Start Date: 04/01/2022 Hours Per Month: 140 Hours Per Day: 6 Duties: Retirement plan consulting 2) Business Name: Gallagher Benefit Services Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Retirement Plan Consulting Services Position: Area Vice President / Investment Advisor Representative Date: 06/01/2019 Hours Per Month: 40 Hours Per Day: 2 Duties: Retirement plan consulting
CRS (Client Relationship Summary) - RIA
Click below to view Scott J 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
April 23, 2022 - Present
GALLAGHER FIDUCIARY ADVISORS, LLC
Office #1: 323 W. Lakeside Ave., Ste. 410, Cleveland, OH 44113RIA
CRD#: 146509
Cleveland, OH
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 323 West Lakeside Ave Ste 410, Cleveland, OH 44113RIA
BD
CRD#: 23131
Cleveland, OH
Past
March 28, 2022 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Cleveland, OH
Past
July 1, 2019 - April 5, 2022
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Cleveland, OH
Past
July 1, 2019 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CLEVELAND, OH
Past
September 11, 2018 - June 6, 2019
USI ADVISORS
RIA
CRD#: 108113
Cleveland, OH
Past
May 25, 2018 - June 6, 2019
USI SECURITIES, INC.
BD
CRD#: 43793
Cleveland, OH
Past
August 18, 2017 - May 18, 2018
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
May 1, 2014 - September 2, 2015
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
February 27, 2007 - May 1, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 9, 2001 - January 17, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
COVINGTON, KY
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".
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 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
IAR
Ohio(4/23/2022)
RR
Ohio(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GF
GALLAGHER FIDUCIARY ADVISORS, LLC
COMPASS POINT RETIREMENT PLANNING | YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | RIVERS INVESTMENT GROUP | KUSSKE FINANCIAL MANAGEMENT | INVESTAR ASSET MANAGEMENT | INDEPENDENT FIDUCIARY SERVICES, A DIVISION OF GBS INVESTMENT CONSULTING, LLC | GBS INVESTMENT CONSULTING, LLC | GALLAGHER INVESTMENTS | GALLAGHER FIDUCIARY ADVISORS, LLC | FLAGSTONE WEALTH MANAGEMENT | FINANCIAL CONSULTANTS OF AMERICA
CRD#: 146509 / SEC#: 801-68868
RIA
Registered Investment Advisory firm - (3/17/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2850 Golf Road, Rolling Meadows, IL 60008
Mailing Address
Phone number
(212) 330-1011
Established
Firm type
Fiscal year end
# of Employees
221
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,754 |
| AUM (Assets Under Management) | $ 180,614,282,519 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
