Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott J Smith is a financial advisor with Gallagher Fiduciary Advisors, LLC. Scott has been in the industry since 2004 and is registered with the state of Ohio. Scott holds the Series 6, 7 and 63 licenses, as well as the SIE. Scott has experience working with a variety of clients, including high net worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Scott provides financial planning, investment management, and retirement plan consulting services. Scott has previously worked with Kestra Investment Services, LLC, USI Securities, Inc., 1st Global Capital Corp, MML Distributors, LLC, MML Investors Services, LLC, Fidelity Investments Institutional Services Company, Inc. and Triad Advisors LLC.
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.
Guidance on pension options to ensure a secure financial future.
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.
See schedule d misc. for explanation
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.
1
2
OH
04/23/2022 - Present
Gallagher Fiduciary Advisors, LLC (Cleveland OH)
OH
03/28/2022 - 08/23/2024
TRIAD ADVISORS LLC (Cleveland OH)
OH
07/01/2019 - 03/31/2022
KESTRA INVESTMENT SERVICES, LLC (CLEVELAND OH)
OH
05/25/2018 - 06/06/2019
USI SECURITIES, INC. (Cleveland OH)
TX
08/18/2017 - 05/18/2018
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
MA
05/01/2014 - 09/02/2015
MML DISTRIBUTORS, LLC (SPRINGFIELD MA)
MA
02/27/2007 - 05/01/2014
MML INVESTORS SERVICES, LLC (SPRINGFIELD MA)
KY
11/09/2001 - 01/17/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
BC
Issued 12/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/08/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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