Scott Smith, financial advisor Gurnee IL
83 score

Scott Smith

CRD 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 15 years of experience in the finance industry.

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Company Name Location Dates Years
Thrivent Financial For Lutherans Appleton, WI Jun 2013 - Current 3
Thrivent Investment Management Inc. Gurnee, IL Mar 2013 - Current 3
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Scott P. Smith
Phone Number: 800-847-4836
Firm Website: https://www.thrivent.com
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    8,027
    MILLIONS
  • Total Number of Accounts
    36,119
    ACCOUNTS
  • Average Account Value
    $222,230
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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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BADGES
83

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