K. G. Smith

OSAIC WEALTH

SACRAMENTO, CA 95841

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CRD#: 1066432

Professional summary

K. Gregg Smith, CFP®, who also goes by Gregg Smith, Karl Gregory Smith, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Sacramento, California.

K. is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. K. has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Life Transitions

Investment Planning

Education Planning

Retirement Income Management

Tax Planning

Insurance Planning

Social Security Planning

Estate Planning

Business Succession Planning

Retirement Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Budgeting

Small Business Planning

Are you a "fiduciary"?

Yes

Aliases

Gregg Smith | Karl Gregory Smith

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. CAPITAL FINANCIAL SERVICES POSITION: Owner NATURE: Capital Financial Services - Tax Preparation, Tax Planning and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 09/01/1982 ADDRESS: 5301 Madison Avenue, Suite 302, Sacramento CA 95841 DESCRIPTION: Income tax preparation, Income tax planning, life and disability insurance analysis and sales. 2. SECURITIES AMERICA ADVISORS POSITION: Advisor NATURE: Investment Advisory - INVESTMENT ADVISOR REPRESENTATIVE INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 70 START DATE: 06/01/1997 ADDRESS: 5301 Madison Ave. Ste. 302, Sacramento CA 95841 DESCRIPTION: Investment Advisory Services 3. N/A POSITION: owner or rental property NATURE: REAL ESTATE - RENTAL PROPERTIES INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1998 ADDRESS: 5301 Madison Ave. #302, Sacramento CA 95841 DESCRIPTION: Own commercial rental property. Leased out to tenants non-related to SAI clients. 4. CFS WEALTH ADVISORS POSITION: sole proprietor NATURE: Tax Preparation, Tax Planning and Insurance Services and DBA for investments services replacing existing Capital Financial Services DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 07/02/2015 ADDRESS: 5301 Madison Avenue, Ste. 302, Sacramento CA 95841 DESCRIPTION: Tax Preparation, Tax Planning, Insurance Services and DBA for Investment business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view K. Gregg Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view K. Gregg Smith's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5301 Madison Avenue, Ste 302, Sacramento, CA 95841

RIA

CRD#: 23131

SACRAMENTO, CA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5301 Madison Avenue, Ste 302, Sacramento, CA 95841

RIA

CRD#: 23131

SACRAMENTO, CA

Past

July 8, 1997 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SACRAMENT, CA

Past

January 6, 1995 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

SACRAMENTO, CA

Past

December 22, 1992 - December 31, 1994

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

July 1, 1986 - December 31, 1992

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

December 18, 1984 - July 3, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

November 9, 1983 - December 26, 1984

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

October 20, 1982 - November 4, 1983

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Arizona
(6/14/2024)

California
(6/14/2024)

IAR

California
(6/14/2024)

Colorado
(6/14/2024)

Florida
(6/14/2024)

Idaho
(6/14/2024)

Indiana
(6/14/2024)

Nevada
(6/14/2024)

Oklahoma
(6/14/2024)

Oregon
(6/14/2024)

Pennsylvania
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Utah
(6/14/2024)

Virginia
(6/14/2024)

Washington
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1983

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

K. G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view K. Gregg Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view K. Gregg Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

FSC SECURITIES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1982

Series 24

Date: 6/30/1983

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Contact information

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