Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott John rodgers Smith is a financial advisor with Robert W. Baird & Co. Inc. Scott John rodgers Smith has been in the financial services industry since 1996. Prior to joining Robert W. Baird & Co. Inc., Scott John rodgers Smith was employed at Goldman Sachs & Co. LLC and Piper Jaffray & Co.. Scott John rodgers Smith is registered with FINRA as a General Securities Representative.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NC
05/03/2023 - Present
Robert W. Baird & Co. Inc. (CHARLOTTE NC)
GA
11/21/2019 - 05/19/2023
GOLDMAN SACHS & CO. LLC (ATLANTA GA)
NC
09/19/2016 - 11/12/2019
PIPER JAFFRAY & CO. (CHARLOTTE NC)
NC
06/26/2008 - 06/08/2016
LAZARD MIDDLE MARKET LLC (CHARLOTTE NC)
MN
06/26/2008 - 07/23/2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC. (MINNEAPOLIS MN)
NC
07/01/2003 - 04/21/2008
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/01/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NC
04/30/1998 - 02/01/1999
BOWLES HOLLOWELL CONNER & CO. (CHARLOTTE NC)
NC
03/13/1996 - 04/30/1998
BOWLES HOLLOWELL CONNER & CO. (CHARLOTTE NC)
BC
Issued 02/25/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/03/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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