Scott J Smith

Current Employers

Gallagher Fiduciary Advisors, Llc

2850 Golf Road, Rolling Meadows, IL 60008 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2022-04-23

OH RA
APPROVED

Since 2022-04-23

Branch Locations

1350 Euclid Avenue Suite 1200, Cleveland, OH 44115 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
July Business Services	Waco	TX	10/2015	05/2018
1St Global Capital Corp	Olmsted Falls	OH	08/2017	05/2018
Usi Consulting Group, Inc.	Glastonbury	CT	05/2018	06/2019
Usi Securities, Inc.	Glastonbury	CT	05/2018	06/2019
Usi Advisors	Glastonbury	CT	09/2018	06/2019
Kestra Financial, Inc.	1111 Superior Ave	OH	07/2019	03/2022
Triad Advisors	Norcross	GA	03/2022	08/2024
Gallagher Fiduciary Advisors, Llc	Cleveland	OH	04/2022	Present
Osaic Wealth, Inc.	Cleveland	OH	08/2024	Present

10/2015 → 05/2018

July Business Services

Waco, TX
08/2017 → 05/2018

1St Global Capital Corp

Olmsted Falls, OH
05/2018 → 06/2019

Usi Consulting Group, Inc.

Glastonbury, CT
05/2018 → 06/2019

Usi Securities, Inc.

Glastonbury, CT
09/2018 → 06/2019

Usi Advisors

Glastonbury, CT
07/2019 → 03/2022

Kestra Financial, Inc.

1111 Superior Ave, OH
03/2022 → 08/2024

Triad Advisors

Norcross, GA
04/2022 → Present

Gallagher Fiduciary Advisors, Llc

Cleveland, OH
08/2024 → Present

Osaic Wealth, Inc.

Cleveland, OH

Previous Registrations

2019-07-01 → 2022-04-05

Kestra Advisory Services, Llc

Cleveland, OH

Austin, TX
2018-09-11 → 2019-06-06

Usi Advisors

Cleveland, OH

Glastonbury, CT

Other Businesses

1) Business Name: Gallagher Fiduciary Advisors Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Investment Consulting Position: Area Vice President / Investment Advisor Representative Start Date: 04/01/2022 Hours Per Month: 140 Hours Per Day: 6 Duties: Retirement plan consulting 2) Business Name: Gallagher Benefit Services Investment Related: Yes Address: 2850 Gold Road, Rolling Meadows, IL 60008 Nature: Retirement Plan Consulting Services Position: Area Vice President / Investment Advisor Representative Date: 06/01/2019 Hours Per Month: 40 Hours Per Day: 2 Duties: Retirement plan consulting

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-12-20

S63 Uniform Securities Agent State Law Examination

2001-12-20

View on SEC IAPD