Delbert J. Smith

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CRD#: 1206790

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.

Delbert John Smith was a registered financial professional .

Delbert is a previously registered financial professional and started their career in finance in 2007. Delbert had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.DELBERT J. SMITH, CPA P.C. - PUBLIC ACCOUNTING FIRM, NOT SECURITIES RELATED. SALARY APPROX. $100K, 250HRS PER MONTH, 150 HRS DURING MARKET HRS. 2.CRUMP - FIXED INSURANCE SALES, START DATE: 08/2009. NON INVESTMENT RELATED. DEVOTES ONE HR PER MONTH; ONE HR DURING MARKET HRS. 3.SAGE TREE WEALTH - RIA. IAR, START DATE: 02/2020, DEVOTES 2-3 HRS PER MONTH; 2-3 HRS DURING MARKET HRS. 02/21/20 4. MVP/EXCELLUS - HEALTH INSURANCE SALES, SALES AGENT, 0% OWNER. START DATE 1/1/12. 1-2 HOURS DEVOTED PER MONTH. 1-2 HOURS DEVOTED PER MONTH DURING MARKET HOURS.

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®

None

Experience

Past

March 24, 2020 - December 31, 2024

SAGE TREE WEALTH

RIA

CRD#: 298951

FAIRPORT, NY

Past

August 31, 2009 - December 31, 2015

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ROCHESTER, NY

Past

January 23, 2009 - August 25, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

ROCHESTER, NY

Past

August 3, 2007 - December 31, 2008

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

ROCHESTER, 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".

SAGE TREE WEALTH

SAGE TREE WEALTH | SAGE TREE WEALTH, INC.

CRD#: 298951 / SEC#: 801-114389

RIA

Registered Investment Advisory firm - (12/6/2018 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 66

Date: 8/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/2/2007

General Securities Representative Examination

Current Firm

SAGE TREE WEALTH

SAGE TREE WEALTH | SAGE TREE WEALTH, INC.

CRD#: 298951 / SEC#: 801-114389

RIA

Registered Investment Advisory firm - (12/6/2018 Approved)

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Contact information

Main Address

10 East Church Street, Fairport, NY 14450

Mailing Address

Phone number

(585) 500-2579

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE TREE WEALTH ADV PART 2 WRAP BROCHURE DOCUMENT (3/19/2025)

ADV BROCHURE DANIEL MONTE (3/19/2025)

ROBERT CHRISTENSEN PART 2B SUPPLEMENTAL (3/19/2025)

SAGE TREE WEALTH ADV PART 2 BROCHURE DOCUMENT (3/19/2025)

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 32,008,453

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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Delbert J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAGE TREE WEALTH

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

MUTUAL SERVICE CORPORATION

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

SAGE TREE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2007

SIE

Date: 12/31/2015

Series 7

Date: 8/2/2007

Current Firm

SAGE TREE WEALTH

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE TREE WEALTH

TRUST BUT VERIFY

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