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Stephen Garrett Smith

Chief Compliance OfficerKestra Investment Management, LLC.CRD 4222732

About Stephen Garrett Smith

Stephen Garrett Smith is listed as Chief Compliance Officer at Kestra Investment Management, LLC. in Austin, TX. Form ADV reports a beneficial ownership band of Under 5%.

Reported ownership

Owns Under 5% of Kestra Investment Management, LLC.
Ownership band reported on Form ADV Schedule A

Frequently asked questions

Where does Stephen Garrett Smith work?

Stephen Garrett Smith is listed as Chief Compliance Officer at Kestra Investment Management, LLC. on SEC Form ADV.

How much of Kestra Investment Management, LLC. does Stephen Garrett Smith own?

Form ADV reports a beneficial ownership band of Under 5%.

Kestra Investment Management, LLC.

TitleChief Compliance Officer
OwnershipUnder 5%
Control personYes
Since2024
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