GS
Griffin W. Smith
SCS
Bellevue, WA 98004
Some features on this profile are disabled
CRD#: 4730562
GS
Professional summary
Griffin Wade Smith, who also goes by Griffin Wayne Smith, Griffin Smith, is a registered financial advisor currently at SCS located in Bellevue, Washington and LPL FINANCIAL LLC located in Bellevue, Washington.
Griffin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Griffin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Griffin Wayne Smith | Griffin 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.
1. 11/29/2004 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance.
2. 1/9/2008 - Sound Consulting Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 50%.
3. 3/10/2015 - NORTHWESTSCS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 02/20/2015 - 160 Hours Per Month/140 Hours During Securities Trading.
4. 3/18/2015 - SCS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 160 Hours Per Month/20 Hours During Securities Trading.
5. 1/13/2021 - Bensler, LLC - DBA: (Hybrid) SCS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 01/01/2021 - 40 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through SCS, an independent investment advisor firm. I started this business activity in 12/2020. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Griffin Wade 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
December 3, 2020 - Present
SCS
Office #1: 10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004RIA
CRD#: 310849
Bellevue, WA
Current
February 17, 2004 - Present
LPL FINANCIAL LLC
Office #1: 10900 Ne 8th St.15th Fl #1550, Bellevue, WA 98004RIA
BD
CRD#: 6413
Bellevue, WA
Past
December 8, 2014 - March 9, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
BELLEVUE, WA
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".
SC
SCS
BENSLER, LLC | SOUND CONSULTING SERVICES | SCS
CRD#: 310849 / SEC#: 801-119764
RIA
Registered Investment Advisory firm - (11/9/2020 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(10/15/2020)
RR
Arizona(2/10/2014)
RR
California(4/5/2004)
RR
Colorado(7/25/2023)
RR
Florida(6/14/2012)
RR
Hawaii(11/3/2010)
RR
Idaho(7/1/2015)
RR
Illinois(1/22/2018)
RR
Kentucky(1/2/2015)
RR
Massachusetts(12/22/2014)
RR
Michigan(2/23/2021)
RR
Mississippi(2/8/2021)
RR
Missouri(1/2/2015)
RR
Montana(1/2/2015)
RR
Nevada(7/18/2013)
RR
New Jersey(8/7/2019)
RR
New Mexico(7/2/2013)
RR
New York(5/30/2014)
RR
Oregon(7/11/2014)
RR
Pennsylvania(1/14/2015)
RR
South Carolina(11/3/2020)
RR
South Dakota(3/1/2022)
RR
Texas(6/19/2020)
IAR
Texas(3/26/2021)
RR
Utah(8/21/2024)
RR
Washington(2/19/2004)
IAR
Washington(12/3/2020)
RR
Wyoming(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SCS
BENSLER, LLC | SOUND CONSULTING SERVICES | SCS
CRD#: 310849 / SEC#: 801-119764
RIA
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Contact information
Main Address
10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004
Mailing Address
Phone number
(425) 452-1222
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,472 |
| AUM (Assets Under Management) | $ 1,637,626,061 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
