Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Heather? Claim Your ProfileHeather Alison Smith is a financial advisor with over 20 years of experience in the industry. Heather is currently registered with Thrivent Investment Management Inc. and has previously held roles at LPL FINANCIAL LLC, KESTRA INVESTMENT SERVICES, LLC, VALIC FINANCIAL ADVISORS, INC. and several other firms. Heather is experienced in providing financial planning and portfolio management services to individuals, corporations and other businesses. She is also experienced in providing financial services to churches and non-profit sharing retirement accounts.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
MN
04/02/2024 - Present
Thrivent Investment Management Inc. (MINNEAPOLIS MN)
SC
05/15/2023 - 04/01/2024
LPL ENTERPRISE, LLC (FORT MILL SC)
SC
02/05/2021 - 04/01/2024
LPL FINANCIAL LLC (FORT MILL SC)
TX
12/11/2014 - 12/18/2020
KESTRA INVESTMENT SERVICES, LLC (AUSTIN TX)
TX
08/25/2003 - 01/17/2014
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
IL
12/19/2002 - 08/26/2003
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
TX
08/29/2000 - 11/29/2001
SANDERS MORRIS HARRIS INC. (HOUSTON TX)
MN
05/27/1998 - 08/19/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/27/1998 - 08/19/1999
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/19/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/19/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/2015
Series 3 - National Commodity Futures Examination
BC
Issued 05/26/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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