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AS

Alan E. Smith

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CRD#: 2201854
AS

Professional summary

Alan English Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alan is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Alan had worked at 4 firms, which includes ONYX WEALTH ADVISORS INC., CAMBRIDGE LEGACY SECURITIES L.L.C., LPL FINANCIAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

June 12, 2009 - September 9, 2009

ONYX WEALTH ADVISORS, INC.

RIA
CRD#: 119558
DALLAS, TX
Past

April 22, 2009 - September 9, 2009

CAMBRIDGE LEGACY SECURITIES L.L.C.

BD
CRD#: 103722
DALLAS, TX
Past

December 19, 1997 - September 26, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN JOSE, CA
Past

July 9, 1996 - September 26, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN JOSE, CA
Past

February 18, 1992 - July 12, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/21/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/25/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/27/1997
General Securities Principal Examination

Current Firm

OW
ONYX WEALTH ADVISORS, INC.
ADAMS WEALTH MANAGEMENT LP | ATLANTIC WEALTH ADVISORY SERVICES | BARNES AND WILLIAMS | BDT & ASSOCIATES | BETHESDA FINANCIAL ADVISORS, LLC | BETTER FINANCIAL PLANNING | BREEDLOVE FINANCIAL | CAMBRIDGE LEGACY ADVISORS, INC. | CAMBRIDGE LEGACY GROUP | COUR FINANCIAL | COVENANT WEALTH PARTNERS | HORIZON ADVISORS | HOWARD CAPITAL MANAGEMENT, INC. | IDEAL LIFE ADVISORS | INSIGHT FINANCIAL STRATEGIES, INC. | LEGACY WEALTH ADVISORS | LIGHTHOUSE FINANCIAL GROUP | MICELI CASTELLON FINANCIAL ADVOCATES | MIKE HENRY & ASSOCIATES | MORGAN LEGACY TRUST | MYLER FINANCIAL PLANNING | ONYX WEALTH ADVISORS, INC. | STRATEGIC ADVISORS, INC. | STRATEGIC FINANCIAL SOLUTIONS, INC. | U. S. WEALTH ADVISORS INC. | U.S. WEALTH MANAGEMENT INC. | VALTA, INC. | WEALTH MANAGEMENT ADVISORS, LLC | WEALTH RESOURCE MANAGEMENT, INC.

CRD#: 119558 / SEC#: 801-64117

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Contact information

Main Address
15660 N. Dallas Parkway Suite 700, Dallas, TX 75248
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

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.

Company Information

ONYX WEALTH ADVISORS, INC.

CRD#: 119558

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