Timothy Liam Smith
Professional Summary
Timothy Liam Smith is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Sarasota, Florida and APW CAPITAL, INC. located in Sarasota, Florida. Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Timothy has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, SIE, Series 31, Series 7, Series 28, Series 26, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BROWN & BROWN | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
Contact Information
Main Address
999 Riverview Drive Suite 201, Totowa, NJ 07512Phone Number
(973) 394-0404# of Employees
21SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,508AUM (Assets Under Management)
$374,030,968Similar Advisors
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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.
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Primary Firm SEC Registration
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BROWN & BROWN | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
State Registrations and Notice Filings
(11/19/2009)
(12/18/2020)
(2/1/1999)
(5/13/2003)
(8/31/1998)
(4/21/2017)
(8/18/2017)
(3/15/2013)
(10/20/2003)
(11/13/2009)
(6/28/2002)
(7/20/1999)
(4/26/2010)
(6/3/2004)
(2/17/1998)
(10/29/2015)
(8/13/2009)
(6/30/1998)
(10/8/2008)
(8/30/2000)
(5/17/2018)
(3/7/2000)
(5/18/2005)
(12/4/2000)
(7/31/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2023About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Timothy Liam Smith's CRS (Customer Relationship Summary).
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