Scott SmithCRD Number: 1025641
Current Firm: Thrivent Investment Management Inc.
Scott Smith (CRD# 1025641) is an Investment Advisor Representative working at Thrivent Investment Management Inc. in Gurnee, IL and has over 16 years of experience in the finance industry.
Nfp Advisor Services, LLC
Jordan Financial Life Planning
|Thrivent Financial For Lutherans||Appleton, WI||Jun 2013 - Current||3|
|Thrivent Investment Management Inc.||Gurnee, IL||Mar 2013 - Current||4|
|Thrivent Financial For Lutherans||Appleton, WI||Apr 2013 - Jun 2013||< 1|
|Scott P. Smith||Lake Forest, IL||Aug 2012 - Mar 2013||< 1|
|Perrit Capital Management||Chicago, IL||Jan 2012 - Aug 2012||< 1|
|Scott P. Smith||Lake Forest, IL||Sep 2011 - Jan 2012||< 1|
|Citizens First National Bank||Princeton, IL||Sep 2010 - Sep 2011||1|
|Scott P. Smith||Lake Forest, IL||Aug 2009 - Sep 2010||1|
|Wayne Hummer Investments||Wilmette, IL||Mar 2008 - Aug 2009||1|
|Fifth Third Securities||Lake Forest, IL||Jan 2005 - Mar 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2013|
|S65||NASAA Investment Advisors Law Examination||Jan 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management8,027MILLIONS
Total Number of Accounts36,119ACCOUNTS
Average Account Value$222,230
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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