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Carlton J Smith

Thrivent Investment Management Inc.

Winter Park, FL

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Current Employers
Thrivent Investment Management Inc.

600 Portland Avenue South, Minneapolis, MN 55415 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-11-17
  • FL RA
    APPROVED
    Since 2025-11-17

Branch Locations

167 S Edinburgh Dr, Winter Park, FL 32792 • 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
OrganizationCityStateFromTo
Cfe Federal Credit Union Lake Mary FL 07/2013 01/2017
Enterprise Holdings Duncanville TX 01/2017 12/2019
Fairwinds Credit Union Orlando FL 12/2019 03/2023
Charles Schwab & Co., Inc Orlando FL 03/2023 02/2024
Thrivent Investment Management Inc Winter Park FL 10/2025 Present
Kingdom Economy Orlando FL 03/2024 10/2025
Thrivent Financial Appleton WI 11/2025 12/2025
Thrivent Financial Appleton WI 12/2025 Present
  • 07/2013 → 01/2017
    Cfe Federal Credit Union
    Lake Mary, FL
  • 01/2017 → 12/2019
    Enterprise Holdings
    Duncanville, TX
  • 12/2019 → 03/2023
    Fairwinds Credit Union
    Orlando, FL
  • 03/2023 → 02/2024
    Charles Schwab & Co., Inc
    Orlando, FL
  • 10/2025 → Present
    Thrivent Investment Management Inc
    Winter Park, FL
  • 03/2024 → 10/2025
    Kingdom Economy
    Orlando, FL
  • 11/2025 → 12/2025
    Thrivent Financial
    Appleton, WI
  • 12/2025 → Present
    Thrivent Financial
    Appleton, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-14
S63 Uniform Securities Agent State Law Examination 2023-07-26
  • S66 Uniform Combined State Law Examination
    2025-10-14
  • S63 Uniform Securities Agent State Law Examination
    2023-07-26
Other Names
  • Carlton Jerome Smith
  • Carlton Jerome Smith

View on SEC IAPD

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Brittney Rhyianna Cooper
Erin B Long
Misty Morris
DiIvory Edgecomb
EDWARD JOHN CORBETT

Other Offices

EDWARD JONES · Winter Park, FL
STATE FARM INVESTMENT MANAGEMENT CORP. · Winter Park, FL
LPL FINANCIAL LLC · WINTER PARK, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Winter Park, FL
WELLS FARGO CLEARING SERVICES, LLC · WINTER PARK, FL
DOBSON STREET LLC · WINTER PARK, FL
PFS INVESTMENTS INC. · WINTER PARK, FL
CETERA INVESTMENT ADVISERS LLC · WINTER PARK, FL

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