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Carina K Smaus

Brokers International Financial Services, LLC

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About Carina K Smaus

Carina Smaus is a financial professional with over 5 years of experience in the industry. Carina has a Series 6, 7, 63, and 66 license. Carina works with Brokers International Financial Services, LLC, and is a registered investment advisor in Iowa and Nebraska. Carina has experience working with individuals, corporations, charitable organizations, and other investment advisors. Carina is licensed to offer investment advisory services, including portfolio management, financial planning, and educational seminars. Carina also has experience in publication of periodicals and selection of other advisers.

Firm Information

Carina Smaus is currently registered with Brokers International Financial Services, LLC. Brokers International Financial Services, LLC is a Limited Liability Company based in Urbandale, IA, that provides investment advisory services to individuals, businesses, charitable organizations, and other investment advisors. The firm is registered with the SEC and in all 51 states and has over 180 licensed agents, 173 investment advisor representatives, and 197 registered representatives. They have approximately $2 billion in assets under management, with a majority of their clients being individuals other than high-net-worth, followed by high-net-worth individuals. They also offer educational seminars and publish periodicals, and they are involved in wrap fee program participation.
Brokers International Financial Services, LLC

4135 NW URBANDALE DR

URBANDALE, IA 50322

$2.00B

Assets Under Management

10

Total Clients

226

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Percentage of assets managed by third-party advisor firms

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Carina Smaus’s Registration & Firm History

NE

04/12/2022 - Present

Brokers International Financial Services, LLC (LINCOLN NE)

NE

12/22/2016 - 09/22/2021

WELLS FARGO CLEARING SERVICES, LLC (LINCOLN NE)

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Licenses & Designations

BOTH

Issued 07/14/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/11/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carina K Smaus. Review regulatory record here.
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