Kent E. Smith

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CRD#: 1931296

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.

Kent Elliott Smith was a registered financial professional .

Kent is a previously registered financial professional and started their career in finance in 1989. Kent had worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

None

Experience

Past

April 11, 2011 - August 4, 2015

WAVERLEY WEALTH MANAGEMENT LLC

RIA

CRD#: 156023

MOUNTAIN VIEW, CA

Past

November 17, 2009 - March 25, 2011

MARTIN THOMAS WEALTH MANAGEMENT

RIA

CRD#: 148465

PALO ALTO, CA

Past

October 23, 2003 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PALO ALTO, CA

Past

October 23, 2003 - April 28, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PALO ALTO, CA

Past

November 2, 1998 - October 27, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PALO ALTO, CA

Past

April 16, 1993 - October 27, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 16, 1992 - October 28, 1992

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

March 21, 1989 - January 15, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

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".

WAVERLEY WEALTH MANAGEMENT LLC

CRD#: 156023 / SEC#: 801-123471

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

California

Registered Investment Advisory firm - (2/14/2025 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

IAR

Series 65

Date: 11/13/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/3/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/16/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/26/2002

General Securities Sales Supervisor - General Module Examination

Current Firm

WAVERLEY WEALTH MANAGEMENT LLC

CRD#: 156023 / SEC#: 801-123471

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

California

Registered Investment Advisory firm - (2/14/2025 Terminated)

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Contact information

Main Address

2570 W. El Camino Real Suite 680, Mountain View, CA 94040

Mailing Address

Phone number

(650) 559-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - WAVERLEY WEALTH MANAGEMENT (1/21/2025)

Regulatory assets under management

Total Number of Accounts	359
AUM (Assets Under Management)	$ 147,063,828

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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Advisor Monitoring

Firm Stability Insights

Kent E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARTIN THOMAS WEALTH MANAGEMENT

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MARKETING ONE SECURITIES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

WAVERLEY WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2002

Series 63

Date: 3/31/1989

Series 31

Date: 12/3/1993

Series 7

Date: 3/18/1989

Series 9

Date: 4/16/2002

Series 10

Date: 2/26/2002

Current Firm

WAVERLEY WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WAVERLEY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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