JS
John W. Smith
FIRST NEBRASKA FINANCIAL SERVICES
North Platte, NE 69101
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CRD#: 1005687
JS
Professional summary
John Warren Smith is a registered financial advisor currently at FIRST NEBRASKA FINANCIAL SERVICES located in North Platte, Nebraska and OSAIC WEALTH, INC. located in North Platte, Nebraska.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. John has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) First Nebraska Financial Services, Inc. investment-related 202 W. 2nd St., North Platte, NE 69101 insurance Shareholder, Chairman, and President Since 1986 20 hours per month 1 hour during trading insurance planning for asset protection risk 2) JTWROS Darrel & Frances Smith; John & Vicky Smith investment related 202 W. 2nd St., North Platte, NE 69101 real estate rental (tenant office space lease) JTWROS 1/20/2021 0 hours per month 0 hours during trading passive real estate ownership 3) NOTARY PUBLIC LICENSE POSITION: License holder NATURE: Self INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 202 W 2nd St, North Platte NE 69101, United States DESCRIPTION: Occasionally a legal document requires a Notary stamp and signature. In a year I might do 2 to5 signatures.
CRS (Client Relationship Summary) - RIA
Click below to view John Warren Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 5, 2019 - Present
FIRST NEBRASKA FINANCIAL SERVICES
Office #1: 202 W. 2nd St., North Platte, NE 69101RIA
CRD#: 298667
North Platte, NE
Current
November 19, 1989 - Present
OSAIC WEALTH, INC.
Office #1: 202 W. 2nd St., North Platte, NE 69101RIA
BD
CRD#: 23131
North Platte, NE
Past
September 26, 2000 - May 31, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
NORTH PLATTE, NE
Past
July 2, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
July 27, 1981 - August 20, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FN
FIRST NEBRASKA FINANCIAL SERVICES
FIRST NEBRASKA ADVISORY LLC | FIRST NEBRASKA FINANCIAL SERVICES
CRD#: 298667 / SEC#: 801-114691
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/21/2012)
RR
Arizona(9/13/2000)
RR
California(12/17/1991)
RR
Colorado(8/24/1993)
RR
Florida(1/18/2017)
RR
Illinois(1/23/2008)
RR
Iowa(2/5/2024)
RR
Kansas(11/19/1989)
RR
Michigan(4/17/2019)
RR
Minnesota(4/22/2022)
RR
Missouri(10/24/1991)
RR
Nebraska(11/19/1989)
IAR
Nebraska(4/5/2019)
RR
Nevada(5/8/2006)
RR
New Mexico(11/19/1989)
RR
Oklahoma(6/27/2012)
RR
Oregon(12/8/2021)
RR
South Dakota(11/19/1989)
RR
Texas(8/11/2000)
IAR
Texas(7/18/2019)
RR
Washington(1/11/2019)
RR
Wisconsin(10/12/2006)
RR
Wyoming(12/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FN
FIRST NEBRASKA FINANCIAL SERVICES
FIRST NEBRASKA ADVISORY LLC | FIRST NEBRASKA FINANCIAL SERVICES
CRD#: 298667 / SEC#: 801-114691
RIA
Registered Investment Advisory firm - (2/12/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
202 W. 2nd St., North Platte, NE 69101
Mailing Address
P.o. Box 1645, North Platte, NE 69103
Phone number
(308) 534-1322
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 943 |
| AUM (Assets Under Management) | $ 413,039,001 |
Red Flags
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Company Information
FIRST NEBRASKA FINANCIAL SERVICES
CRD#: 298667North Platte, NE 69101TRUST BUT VERIFY
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Contact information
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