Arthur J. Smithee

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CRD#: 1068632

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Arthur J Smithee JR, CFP® was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1988. Arthur had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

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. Equity Real Estate Solid; licensed Utah Real Estate Agent; Start Date: 02/2024. 5 hours per month are spend on this activity, 0 during trading hours. 2.Sole Proprietor; Investment-related; Orem, UT; Owner of an LLC that holds a passive equity interest in a private company. No management role or operational involvement. Passive investment only.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2018 - August 14, 2026

DIAMOND WEALTH MANAGEMENT, LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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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Advisor Monitoring

Firm Stability Insights

Arthur J. Smithee

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client 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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