BS
Brooks C. Smith
LARSON FINANCIAL GROUP
FORT WAYNE, IN 46804
Some features on this profile are disabled
CRD#: 7297764
BS
Professional summary
Brooks Curtis Smith, who also goes by Brooks Curtis Smith, is a registered financial advisor currently at LARSON FINANCIAL GROUP, LLC located in Fort Wayne, Indiana and LARSON FINANCIAL SECURITIES, LLC located in Fort Wayne, Indiana.
Brooks is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Brooks has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brooks Curtis 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brooks Curtis 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
July 10, 2024 - Present
LARSON FINANCIAL GROUP, LLC
Office #1: 7230 Engle Rd Suite 300, Fort Wayne, IN 46804RIA
CRD#: 140599
FORT WAYNE, IN
Current
February 27, 2025 - Present
LARSON FINANCIAL SECURITIES, LLC
Office #1: 7230 Engle Rd Suite 300, Fort Wayne, IN 46804BD
CRD#: 152517
Fort Wayne, IN
Past
January 6, 2021 - May 22, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Fort Wayne, IN
Past
November 6, 2020 - May 22, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Fort Wayne, IN
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".
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 Terminated)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
District of Columbia(1/16/2026)
RR
Florida(1/21/2026)
RR
Georgia(1/15/2026)
RR
Illinois(1/8/2026)
IAR
Indiana(7/10/2024)
RR
Indiana(2/28/2025)
RR
Iowa(1/9/2026)
RR
Michigan(1/8/2026)
RR
Nebraska(2/6/2026)
RR
New Jersey(1/7/2026)
RR
Ohio(1/7/2026)
RR
Oregon(1/8/2026)
RR
Utah(1/9/2026)
RR
Virginia(1/9/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/6/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
100 N Broadway Suite 1700, Saint Louis, MO 63102
Mailing Address
Phone number
(866) 569-2450
Established
Firm type
Fiscal year end
# of Employees
115
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
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.
