Dustin 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.
Dustin Smith, who also goes by Nick Sconce, Dustin Cameron Smith, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2005. Dustin had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2020 - December 13, 2021
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 19, 2020 - November 19, 2020
SAYBRUS EQUITY SERVICES, LLC
January 20, 2017 - September 24, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
October 20, 2015 - August 26, 2016
MSI FINANCIAL SERVICES, INC.
September 9, 2015 - August 26, 2016
MSI FINANCIAL SERVICES, INC.
June 25, 2014 - September 8, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 23, 2012 - December 31, 2012
AMERITAS INVESTMENT COMPANY, LLC
January 5, 2012 - December 31, 2012
AMERITAS INVESTMENT COMPANY, LLC
August 25, 2011 - December 21, 2011
LPL FINANCIAL LLC
August 25, 2011 - January 20, 2012
LPL FINANCIAL LLC
July 22, 2011 - January 11, 2012
STRATEGIC FINANCIAL CONCEPTS, LLC
January 25, 2010 - August 17, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 8, 2008 - January 5, 2010
VOYA FINANCIAL ADVISORS, INC.
June 15, 2006 - January 6, 2010
SLD AMERICA EQUITIES, INC.
May 25, 2005 - May 5, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
