Herbert Carl Smith

Current Employers

Employment History

• 04/2016 → Present
  Kestra Advisory Services, Llc
  Santa Fe, NM
• 06/2001 → Present
  Kestra Investment Services, Llc
  Santa Fe, NM

Other Businesses

Name: Piatchek & Smith, LLC dba Piatchek & Associates Inv Rel: Yes Address: 4969 Pershing Place #3 Saint Louuis MO 63108 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC POS: Owner Start Date: 4/12/2003 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Overall management of the enterprise Name: Kestra Advisory Services, LLC Inv Rel: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 NOB: Investment Advisory services through Kestra Advisory Services, LLC POS: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: HERBERT SMITH, SCORE MENTOR POS: Member, mentor NOB: Mentoring business owners INV REL: No # OF HOURS: 2 SECURITIES TRADING HOURS: 8 START DATE: 02/12/2024 ADDRESS: 3900 Paseo del Sol, Suite A320, Santa Fe NM 87507 DESC: Meeting with small business owners and providing mentoring services.

Exams

• S63 Uniform Securities Agent State Law Examination
  1982-07-27

Designations

Other Names

• Herbert Smith