Ethan C. Smith

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 7457725

Professional summary

Ethan Christopher Smith is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Ethan is registered as a RR (Registered Representative) and started their career in finance in 2022. Ethan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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.

CONCOURSE FINANCIAL GROUP DISTRIBUTORS; Investment Related; Chattanooga, TN; Financial Services; DLC; Start Date 03/2024; 160 hours per month with most hours per month occurring during trading hours; Wholesale of insurance products to other licensed professionals.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ethan Christopher 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®

None

Experience

Current

November 15, 2024 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

March 22, 2024 - November 21, 2024

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Chattanooga, TN

Past

March 22, 2024 - November 15, 2024

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

April 14, 2022 - April 5, 2024

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

BENTONVILLE, AR

Past

March 18, 2022 - April 5, 2024

ARVEST WEALTH MANAGEMENT

CRD#: 42057

BENTONVILLE, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(11/15/2024)

Florida
(11/21/2024)

Louisiana
(11/15/2024)

Mississippi
(11/15/2024)

Tennessee
(11/15/2024)

Texas
(11/15/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/14/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/9/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

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.

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Ethan C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ethan Christopher Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT DISTRIBUTORS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2022

Series 7TO

Date: 3/18/2022

SIE

Date: 2/9/2022

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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