Unclaimed
Kevin Brock Smith is a financial advisor with Fifth Third Securities, Inc. Kevin has been in the industry since 1998. Kevin has experience working with individuals, businesses, and institutions. Kevin holds the Series 7, 63, 65, and 9 licenses, and provides financial planning, portfolio management, and other services.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Sponsor wrap fee program
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.
A percentage of the total value of assets under management is charged.
1
2
IN
11/30/2016 - Present
Fifth Third Securities, Inc. (INDIANAPOLIS IN)
IN
07/22/2005 - 04/16/2007
CHASE INVESTMENT SERVICES CORP. (INDIANAPOLIS IN)
MO
11/19/2002 - 07/06/2004
EDWARD JONES (ST. LOUIS MO)
TX
08/25/1998 - 11/07/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 11/28/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/5/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/8/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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