ES
Eric A. Smith
NATURAL INVESTMENTS
Seattle, WA
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CRD#: 1495628
ES
Professional summary
Eric Andrew Smith, AIF®, CFP® is a registered financial advisor currently at NATURAL INVESTMENTS located in Seattle, Washington.
Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Eric has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
SMITH TRUSTS A NAD B - INVESTMENT RELATED - SAME ADDRESS - FAMILY TRUST - CO-TRUSTEE - 2005 - 8 HRS/MO - 4 HRS/MO DURING TRADING - TRUSTEE DUTIES AS NEEDED
***PAX WORLD FUND UTMA - INVESTMENT RELATED - SAME ADDRESS - UTMA - CUSTODIAN - 2005 - LESS THAN 1 HR/MO - NONE DURING TRADING - CUSTODIAN FOR UTMA ACCOUNT SO MY NIECE. ADMIN DUTIES AS NEEDED.
***SEATTLE AUDUBON, FINANCE COMMITTEE - NOT INVESTMENT RELATED - NON PROFIT - NON-VOTING VOLUNTEER FINANCE COMMITTEE MEMBER - NOT A BOARD MEMBER - 2012 - 2 HR/MO, 0 HR/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Eric Andrew 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®
Experience
Current
August 8, 2016 - Present
NATURAL INVESTMENTS
RIA
CRD#: 113348
Seattle, WA
Past
January 12, 1989 - August 8, 2016
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
SEATTLE, WA
Past
August 11, 1988 - August 8, 2016
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
SEATTLE, WA
Past
May 27, 1986 - August 3, 1988
LOWRY FINANCIAL SERVICES CORPORATION
BD
CRD#: 7291
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".
NI
NATURAL INVESTMENTS
CHORDATA CAPITAL | STRATEGY SQUAD | NATURAL INVESTMENTS, LLC | NATURAL INVESTMENTS PBLLC | NATURAL INVESTMENTS | NATURAL INVESTMENT SERVICES, LLC | NATURAL INVESTMENT SERVICES, INC. | NATURAL INVESTMENT SERVICES, INC | MONEY WITH A MISSION | JUST MONEY ADVISORS
CRD#: 113348 / SEC#: 801-63874
RIA
Registered Investment Advisory firm - (2/10/2005 Approved)California
Registered Investment Advisory firm - (2/23/2005 Terminated)Colorado
Registered Investment Advisory firm - (3/16/2005 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.Highlighted states indicate IAR registrations
IAR
Washington(8/8/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NI
NATURAL INVESTMENTS
CHORDATA CAPITAL | STRATEGY SQUAD | NATURAL INVESTMENTS, LLC | NATURAL INVESTMENTS PBLLC | NATURAL INVESTMENTS | NATURAL INVESTMENT SERVICES, LLC | NATURAL INVESTMENT SERVICES, INC. | NATURAL INVESTMENT SERVICES, INC | MONEY WITH A MISSION | JUST MONEY ADVISORS
CRD#: 113348 / SEC#: 801-63874
RIA
Registered Investment Advisory firm - (2/10/2005 Approved)California
Registered Investment Advisory firm - (2/23/2005 Terminated)Colorado
Registered Investment Advisory firm - (3/16/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Windsor, CA
Mailing Address
P.o. Box 7775, #43366, San Francisco, CA 94120-7775
Phone number
(707) 758-0171
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,846 |
| AUM (Assets Under Management) | $ 1,973,943,342 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
