Shelly M. 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.
Shelly M Smith, who also goes by Shelly Marie Smith, was a registered financial professional .
Shelly is a previously registered financial professional and started their career in finance in 2003. Shelly had worked at 12 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6 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
March 15, 2024 - April 6, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
January 12, 2022 - July 1, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 12, 2022 - July 1, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
September 1, 2021 - November 24, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
August 30, 2021 - November 24, 2021
FIRST COMMAND ADVISORY SERVICES
April 23, 2019 - May 1, 2020
ALLSTATE FINANCIAL SERVICES, LLC
August 23, 2018 - April 12, 2019
HORACE MANN INVESTORS, INC.
August 25, 2010 - August 13, 2012
FARMERS FINANCIAL SOLUTIONS, LLC
July 20, 2007 - September 17, 2008
NATCITY INVESTMENTS, INC.
January 18, 2005 - August 10, 2005
SIGMA FINANCIAL CORPORATION
May 4, 2004 - November 10, 2004
MML INVESTORS SERVICES, LLC
October 13, 2003 - May 3, 2004
PRUCO SECURITIES, 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
Exams
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.
