Kenneth R. Smith

COMPASS FINANCIAL ADVISORS

WEST CHESTER, PA

CRD#: 2300203

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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.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Richard 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®

None

Experience

Current

November 25, 2003 - Present

COMPASS FINANCIAL ADVISORS, LLC

RIA

CRD#: 128319

WEST CHESTER, PA

Past

July 26, 2022 - June 15, 2026

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

WAYNE, PA

Past

March 6, 2019 - December 31, 2022

EQUALIZE CAPITAL LLC

RIA

CRD#: 300640

WAYNE, PA

Past

April 2, 2018 - June 15, 2026

ALDEN CAPITAL

RIA

CRD#: 293551

WAYNE, PA

Past

March 16, 2018 - June 15, 2026

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

Doylestown, PA

Past

March 21, 2017 - March 31, 2021

DEKANIA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 133169

NEW YORK, NY

Past

March 21, 2017 - January 11, 2023

COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 133171

NEW YORK, NY

Past

January 28, 2014 - October 1, 2020

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 157841

WAYNE, PA

Past

October 31, 2012 - October 1, 2020

MCG SECURITIES LLC

CRD#: 163144

WAYNE, PA

Past

October 10, 2011 - March 14, 2013

COMMONWEALTH ADVISORS, INC.

CRD#: 154783

LEMOYNE, PA

Past

October 6, 2011 - September 25, 2012

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

PHILADELPHIA, PA

Past

June 23, 2010 - March 9, 2011

COHEN & COMPANY CAPITAL MARKETS, LLC

CRD#: 144981

PHILADELPHIA, PA

Past

February 13, 2006 - June 5, 2007

RAIT SECURITIES, LLC

CRD#: 136622

PHILADELPHIA, PA

Past

August 26, 2005 - February 15, 2006

CBT INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 133326

PHILADELPHIA, PA

Past

October 22, 2002 - December 15, 2005

CBT INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 119596

PHILADELPHIA, PA

Past

October 11, 2000 - March 9, 2011

COHEN & COMPANY SECURITIES, LLC

CRD#: 104002

PHILADELPHIA, PA

Past

October 21, 1998 - February 17, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

November 3, 1994 - October 12, 1998

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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

Pennsylvania
(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

State Security Law Exam

IAR

Series 65

Date: 9/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/12/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/2/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 1/27/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 11/17/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/16/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1997

General Securities Principal Examination

Current Firm

COMPASS FINANCIAL ADVISORS, LLC

CRD#: 128319 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/3/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/25/2003 Approved)

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).

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Contact information

Main Address

West Chester, PA

Mailing Address

Phone number

(484) 995-4517

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 18,195,160

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

Kenneth R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Richard Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALDEN INVESTMENT GROUP

EQUALIZE CAPITAL LLC

ALDEN CAPITAL

J. ALDEN ASSOCIATES, INC.

DEKANIA CAPITAL MANAGEMENT, LLC

COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

BLUESTONE CAPITAL MANAGEMENT, LLC

MCG SECURITIES LLC

COMMONWEALTH ADVISORS, INC.

COHEN & COMPANY SECURITIES, LLC

COHEN & COMPANY CAPITAL MARKETS, LLC

RAIT SECURITIES, LLC

CBT INVESTMENT MANAGEMENT, LLC

CBT INVESTMENT MANAGEMENT, INC.

COHEN & COMPANY SECURITIES, LLC

JPMSI

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2001

Series 63

Date: 3/28/1995

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/12/2001

Series 7

Date: 11/2/1994

Series 14

Date: 1/2/2023

Series 8

Date: 1/27/1999

Series 4

Date: 11/17/1997

Series 53

Date: 5/16/1997

Series 24

Date: 2/27/1997

Current Firm

COMPASS FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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