Douglas S. Smith

PATHWORKS FINANCIAL

Novi, MI 48375

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CRD#: 1588505

Professional summary

Douglas Scott Smith, CFP®, who also goes by D. Scott Smith, Scott Smith, is a registered financial advisor currently at PATHWORKS FINANCIAL, INC. located in Novi, Michigan.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Douglas has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

D. Scott Smith | Scott Smith

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.

PATHWORKS FINANCIAL, INC. IS LICENSED AS AN INSURANCE AGENCY PROVIDING INSURANCE BROKERAGE SERVICES TO ITS CLIENTS IN THE LIFE, DISABILITY AND HEALTH AREAS AS WELL AS PROVIDING THIRD-PARTY PENSION ADMINISTRATION SERVICES. DOUGLAS SCOTT SMITH IS LICENSED TO SELL INSURANCE PRODUCTS. CLIENTS ARE NOT REQUIRED TO PURCHASE ANY INSURANCE PRODUCTS AS PART OF THEIR ASSET MANAGEMENT PROGRAM OR FINANCIAL PLANNING PROCESS. DOUGLAS SCOTT SMITH IS A REAL ESTATE BROKER WITH CENTER STREET REALTY, LLC; A REAL ESTATE BROKERAGE. AS PART OF THE STATE OF MICHIGAN'S LICENSING PROCESS FOR REAL ESTATE AGENCIES, MR. SMITH HAS BECOME LICENSED AS A REAL ESTATE BROKER BY THE STATE OF MICHIGAN. THE FIRM AND ITS EMPLOYEES SPEND LESS THAN 5% OF THEIR TIME INVOLVED IN THESE ADDITIONAL SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Scott Smith's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

June 19, 2021 - Present

PATHWORKS FINANCIAL, INC.

Office #1: 43155 Main Street Suite 212, Novi, MI 48375

RIA

CRD#: 138393

Novi, MI

Past

October 13, 2021 - January 4, 2023

PATHWORKS FINANCIAL

RIA

CRD#: 313668

Novi, MI

Past

August 27, 2010 - March 11, 2021

PATHWORKS FINANCIAL, INC.

RIA

CRD#: 138393

NOVI, MI

Past

November 16, 2001 - December 31, 2005

M HOLDINGS SECURITIES, INC.

CRD#: 43285

STERLING HEIGHTS, MI

Past

July 15, 1994 - November 20, 2001

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

January 16, 1987 - July 18, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, 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".

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 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.

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

Michigan
(6/19/2021)

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 65

Date: 7/13/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/15/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/1994

General Securities Principal Examination

Current Firm

PATHWORKS FINANCIAL, INC.

CRD#: 138393 / SEC#: 801-120476

RIA

Registered Investment Advisory firm - (3/10/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/11/2021 Terminated)

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Contact information

Main Address

43155 Main Street Suite 212, Novi, MI 48375

Mailing Address

Phone number

(248) 946-4515

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PATHWORKS FORM ADV PART 2A (JANUARY 23, 2025) (3/25/2025)

PATHWORKS WRAP FEE BROCHURE (JANUARY 23, 2025) (1/24/2025)

Regulatory assets under management

Total Number of Accounts	1,086
AUM (Assets Under Management)	$ 236,868,620

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

Douglas S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Scott Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHWORKS FINANCIAL

PATHWORKS FINANCIAL, INC.

M HOLDINGS SECURITIES, INC.

VESTAX SECURITIES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

PATHWORKS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/2010

Series 63

Date: 1/15/1987

Series 7

Date: 5/19/1990

Series 6

Date: 1/15/1987

Series 24

Date: 8/22/1994

Current Firm

PATHWORKS FINANCIAL, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATHWORKS FINANCIAL, INC.

TRUST BUT VERIFY

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