Kenneth Richard Smith
Professional Summary
Kenneth Richard Smith is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS, LLC located in West Chester, Pennsylvania. Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Kenneth has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 8, Series 4, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS FINANCIAL ADVISORS, LLC
Contact Information
Main Address
West Chester, PAPhone Number
(484) 995-4517# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
65AUM (Assets Under Management)
$21,469,769Similar Advisors
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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.
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State Registrations and Notice Filings
(11/25/2003)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Nov 2001Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1999Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Richard Smith's CRS (Customer Relationship Summary).
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