Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Wayne Smith is an Investment Advisor Representative with Independent Financial Group, LLC. Scott has been in the industry since 2000 and has a proven track record of providing financial advice and guidance to individuals, families, and businesses. Scott has a strong background in investment management, financial planning, and insurance. Scott is committed to providing his clients with personalized, comprehensive financial solutions to help them achieve their goals. He is licensed to conduct business in California and Florida.
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.
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.
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2
CA
01/06/2025 - Present
Independent Financial Group, LLC (Fresno CA)
CA
06/02/2008 - 01/24/2017
CAPITAL FINANCIAL SERVICES, INC. (Madera CA)
CA
10/14/2005 - 05/02/2008
SIGNATOR INVESTORS, INC. (FRESNO CA)
NY
11/05/2001 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
12/16/1999 - 09/26/2001
RUSSIAN RIVER FINANCIAL SERVICES, INC. (HEALDSBURG CA)
IA
Issued 04/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 12/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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