Arthur J. Smithee

DIAMOND WEALTH MANAGEMENT

Alpine, UT 84004

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CRD#: 1068632

Professional summary

Arthur J Smithee JR, CFP® is a registered financial advisor currently at DIAMOND WEALTH MANAGEMENT, LLC located in Alpine, Utah.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Arthur has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 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.Arthur J Smithee Jr, Sole Proprietor; Insurance;53 W 560 S, Orem UT 84058; Insurance Agent; 07/1981; Marketing and sales of insurance. Approximately 10 hours a month; 5 during trading hours. 2. Novox LLC; Medical Device;53 W 560 S, Orem UT 84058; Manager; 02/2018; Develop, manufacture and market medical devices. 3. Omninox Technologies LLC; 227 W 700 S, Orem UT 84058; Manager; 02/2018; Develop manufacture and market medical devices. 4. Joshua Management Group LLC; 53 W 560 S, Orem UT 84058; Manager; 06/2009; Consult, Design, market technology Devices; Consultant; planning and consulting for business entity structure and operation; estate, business and family succession, charitable and tax strategies; Orem, UT; 06/2021; Approximately 15% of time spent in this practice. 5. Zellim, Inc.; 2975 W. Executive Parkway, Ste 140, Lehi, UT 84043; Board Member; 04/2021; Develop productivity software for small to medium businesses; Duties consistent with those of a board member; advise company on business decisions; assist with future objectives; 5 hours per month spent in this practice. 6. Equity Real Estate Solid; licensed Utah Real Estate Agent; Start Date: 02/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur J Smithee JR'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: 1995

Experience

Current

September 28, 2018 - Present

DIAMOND WEALTH MANAGEMENT, LLC

Office #1: 40 W. Main Street Court Suite 250e, Alpine, UT 84004

RIA

CRD#: 288603

Alpine, UT

Past

November 28, 2017 - January 12, 2018

BFC PLANNING, INC.

RIA

CRD#: 119682

Orem, UT

Past

August 22, 2017 - January 12, 2018

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

Orem, UT

Past

February 12, 2015 - May 12, 2017

BFC PLANNING, INC.

RIA

CRD#: 119682

OREM, UT

Past

January 28, 2015 - May 12, 2017

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

Orem, UT

Past

May 24, 2004 - January 16, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

OREM, UT

Past

May 21, 2004 - January 16, 2015

LPL FINANCIAL LLC

CRD#: 6413

OREM, UT

Past

September 29, 2000 - June 2, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PROVO, UT

Past

January 23, 1995 - June 2, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 23, 1988 - December 2, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

DIAMOND WEALTH MANAGEMENT, LLC

DIAMOND WEALTH MANAGEMENT, LLC | WEALTH MANAGEMENT CONSULTING | NORTHPOINTE INVESTMENT PARTNERS LLC | ENSIGN WEALTH ADVISORS LLC

CRD#: 288603 / SEC#: 801-110663

RIA

Registered Investment Advisory firm - (6/19/2017 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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/3/2021)

IAR

Utah
(9/28/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/21/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/2004

General Securities Principal Examination

Current Firm

DIAMOND WEALTH MANAGEMENT, LLC

DIAMOND WEALTH MANAGEMENT, LLC | WEALTH MANAGEMENT CONSULTING | NORTHPOINTE INVESTMENT PARTNERS LLC | ENSIGN WEALTH ADVISORS LLC

CRD#: 288603 / SEC#: 801-110663

RIA

Registered Investment Advisory firm - (6/19/2017 Approved)

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Contact information

Main Address

40 W. Main Street Court Suite 250e, Alpine, UT 84004

Mailing Address

Phone number

(801) 216-4811

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B (4/25/2025)

JONATHAN GARDNER ADV PART 2B (4/25/2025)

ADV PART 2B N CAJIGAS (4/25/2025)

ADV PART 2B RONALD T. SPERRY (4/25/2025)

ADV PART 2B R SIMONS (4/25/2025)

ADV PART 2B ARTHUR J SMITHEE (4/25/2025)

Regulatory assets under management

Total Number of Accounts	510
AUM (Assets Under Management)	$ 183,472,016

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.

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Firm Stability Insights

Arthur J. Smithee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur J Smithee JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

BFC PLANNING, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BFC PLANNING, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

DIAMOND WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/1998

Series 63

Date: 1/4/1989

SIE

Date: 1/12/2018

Series 3

Date: 6/21/1996

Series 7

Date: 11/19/1988

Series 24

Date: 8/12/2004

Current Firm

DIAMOND WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIAMOND WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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