Jack S. Sampson

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CRD#: 1411074

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.

Jack Scott Sampson, CFP®, who also goes by J. Scott Sampson, Scott Sampson, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 1985. Jack had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

J. Scott Sampson | Scott Sampson

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.

The advisor shows no other business activity.

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: 1985

Experience

Past

November 14, 2019 - January 18, 2024

SMART PORTFOLIOS, LLC

RIA

CRD#: 131342

Aurora, CO

Past

March 24, 2017 - December 31, 2018

SAMPSON INVESTMENT MANAGEMENT

RIA

CRD#: 118492

Danville, CA

Past

May 20, 1993 - April 14, 2009

SAMPSON INVESTMENT MANAGEMENT

RIA

CRD#: 118492

DANVILLE, CA

Past

May 4, 1989 - July 7, 1993

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

Past

May 24, 1988 - May 24, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - June 2, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 25, 1985 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

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".

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 6/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/27/1985

General Securities Principal Examination

Current Firm

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

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Contact information

Main Address

17849 Ballinger Way Ne, Lake Forest Park, WA 98155

Mailing Address

Phone number

(206) 686-3636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART PORTFOLIOS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	470
AUM (Assets Under Management)	$ 202,918,930

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

Jack S. Sampson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAMPSON INVESTMENT MANAGEMENT

SAMPSON INVESTMENT MANAGEMENT

INVESTMENT ARCHITECTS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

SMART PORTFOLIOS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/1987

Series 7

Date: 9/21/1985

Series 24

Date: 12/27/1985

Current Firm

SMART PORTFOLIOS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART PORTFOLIOS, LLC

TRUST BUT VERIFY

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