TS
Timothy L. Smith
AURORA PRIVATE WEALTH
Sarasota, FL 34236
Some features on this profile are disabled
CRD#: 1407004
TS
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 27 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-Actor/Singer; SUCCASUNNA, NJ; SOLE PROPRIETORSHIP; SVC. DESCRIPTION: SING CONCERTS OF IRISH MUSIC AND CULTURE; START DATE: 1/1/2014; TITLE: SINGER; DUTIES: SING, ACT AND BOOK PERFORMANCES; 0% TIME SPENT. 2-SKYLINE THEATRE COMPANY, INC.; FAIR LAWN, NJ; SVC. DESCRIPTION: THEATRICAL PRODUCTIONS; NON-PROFIT; START DATE: 10/1/2014; TITLE: TRUSTEE; DUTIES: ATTEND BOARD MEETINGS QUARTERLY, GIVE MONEY, HELP RAISE MONEY; 1% TIME SPENT. 3-TREASURER, SANDRA KUPPERMAN FOUNDATION, MORRISTOWN, NJ; SVC. DESCRIPTION: MANAGE ENDOWMENT, DISTRIBUTE FUNDS TO CHARITIES; CORPORATION; START DATE: 12/1/2013; TITLE: TREASURER; DUTIES: OVERSEE ENDOWMENT, DETERMINE CHARITIES TO DISTRIBUTE TO; 1% TIME SPENT. 4-Comprehensive Capital Management, Inc; Rockaway, NJ; RIA; SVC. DESCRIPTION: IA SERVICES/DISCRETIONARY; CORPORATION; START DATE: 4/1/2002; TITLE: PRESIDENT; DUTIES: OVERALL MANAGEMENT; 5% TIME SPENT. 5-Aurora Insurance SERVICES; Rockaway, NJ; FIXED INS./INCLUDES EQUITY INDEXES; SVC. DESCRIPTION: SALES OF INSURANCE, ORGANIZATION MGMT.; START DATE: 1/1/2000; TITLE: PRESIDENT; DUTIES: SALES, MANAGEMENT; 5% TIME SPENT. 6-Aurora Private Wealth, INC.; Rockaway, NJ; BUSINESS TYPE: RIA; DBA: Structured Portfolios; SERVICE DESCRIPTION: PROVIDING RIA SERVICE TO RETAIL CUSTOMERS; DATE: 10/01/2015; TITLE: PRESIDENT/IRA; DUTIES: ORGANIZATION MANAGEMENT COMPLIANCE; TIME SPENT: 10%. 7-Book Author and Speaker; Succasunna, NJ; Svc. Description: book writing, public speaking about the book(s); Start Date: 1/1/2019; Title: Author/Speaker; Duties: writing book/books and giving presentations about it/them; Time Spent: 10%. 8-TLS Ventures LLC, Investment related: No, 1990 Main St. Suite 750, Sarasota, Florida, 34236, Software for financial services firms, educational programs on investment fraud and personal finance (no advice, only education); Managing Director, 01/01/2020, less than 5 hours per week, organizational management 9-Theatre Producing, Investment related: Yes, 4712 Ocean Blvd. Unit W8, Sarasota, FL, 34242, I will be investing in theatrical, film or television productions for profit. I will be soliciting others to invest in same. I will not be soliciting any clients in any way., Producer, 01/01/2020, less than 5 hours per week, investing money, soliciting others to invest 10-POA for Joyce Smith, Investment related:No, 4712 Ocean Bvld. Unit W8, Sarasota, FL, 34236, I help manage affairs for my incapacitated mother. Filing this out of an abundance of caution., POA, 01/02/2023, <1 hr/week, manage investments and personal financial affairs 11-Structured Positions, Investment related:Yes, 1680 Fruitville Road, Sarasota, FL, 34236, DBA for aurora private wealth niche work, Owner, 08/01/2025, 25%, Management
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Liam Smith's 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®
NoneExperience
Current
October 29, 2015 - Present
AURORA PRIVATE WEALTH, INC.
Office #1: 1680 Fruitville Road Suite 213, Sarasota, FL 34236Office #2: 100 Enterprise Drive Suite 504, Rockaway, NJ 07866RIA
CRD#: 281604
Sarasota, FL
Current
February 9, 1998 - Present
APW CAPITAL, INC.
Office #1: 1680 Fruitville Rd, Suite 302, Sarasota, FL 34236BD
CRD#: 43814
Sarasota, FL
Past
February 8, 2005 - December 31, 2006
FIRST ADVISORS FINANCIAL GROUP, LLC
RIA
CRD#: 106396
PARSIPPANY, NJ
Past
February 8, 2005 - February 9, 2021
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 119890
ROCKAWAY, NJ
Past
September 1, 1998 - August 4, 2004
APW CAPITAL, INC.
RIA
CRD#: 43814
Sarasota, FL
Past
January 2, 1988 - April 20, 1990
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 25, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
November 19, 1985 - June 5, 1996
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
PARSIPPANY, NJ
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".
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | 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 | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)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.RR
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
RR
Arkansas(11/19/2009)
RR
California(12/18/2020)
RR
Connecticut(2/1/1999)
RR
District of Columbia(5/13/2003)
RR
Florida(8/31/1998)
IAR
Florida(4/21/2017)
RR
Georgia(8/18/2017)
RR
Hawaii(3/15/2013)
RR
Indiana(10/20/2003)
RR
Iowa(11/13/2009)
RR
Maryland(6/28/2002)
RR
Massachusetts(7/20/1999)
RR
Minnesota(4/26/2010)
RR
New Hampshire(6/3/2004)
RR
New Jersey(2/17/1998)
IAR
New Jersey(10/29/2015)
RR
New Mexico(8/13/2009)
RR
New York(6/30/1998)
RR
North Carolina(10/8/2008)
RR
Ohio(8/30/2000)
RR
Oregon(5/17/2018)
RR
Pennsylvania(3/7/2000)
RR
Rhode Island(5/18/2005)
RR
Texas(12/4/2000)
RR
Vermont(7/31/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | 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 | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Enterprise Drive Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 395,308,639 |
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.
