Nathan SmithCRD Number: 1991498
Current Firm: Thrivent Investment Management Inc.
Nathan Smith (CRD# 1991498) is an Investment Advisor Representative working at Thrivent Investment Management Inc. in Overland Park, KS and has over 26 years of experience in the finance industry. Nathan Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
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|Thrivent Investment Management Inc.||Overland Park, KS||Jul 2002 - Current||14|
|Thrivent Financial For Lutherans||Appleton, WI||Jul 2002 - Current||14|
|Thrivent Financial Bank||Overland Park, KS||Jul 2002 - Dec 2012||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1989|
|S65||NASAA Investment Advisors Law Examination||Sep 2004|
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:
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