Scott G. Smith

NORTHERN MONARCH CAPITAL LLC

FOX ISLAND, WA

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CRD#: 2412430

Professional summary

Scott Gerard Smith, who also goes by Scott Gerrard Smith, is a registered financial advisor currently at NORTHERN MONARCH CAPITAL LLC located in Fox Island, Washington.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Scott has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Gerrard 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Gerard 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

February 26, 2025 - Present

NORTHERN MONARCH CAPITAL LLC

RIA

CRD#: 332937

FOX ISLAND, WA

Past

July 28, 2008 - November 13, 2024

SABIN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 143629

Gig Harbor, WA

Past

January 20, 2006 - February 16, 2007

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

TACOMA, WA

Past

January 20, 2006 - February 16, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

TACOMA, WA

Past

October 2, 1998 - January 24, 2006

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BURLINGAME, CA

Past

January 14, 1994 - January 24, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

California
(3/24/2025)

IAR

Texas
(3/28/2025)

IAR

Washington
(2/26/2025)

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: 9/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/13/1994

General Securities Representative Examination

Current Firm

NORTHERN MONARCH CAPITAL LLC

CRD#: 332937 / SEC#:

California

Registered Investment Advisory firm - (3/24/2025 Approved)

South Dakota

Registered Investment Advisory firm - (4/23/2025 Approved)

Texas

Registered Investment Advisory firm - (3/28/2025 Approved)

Washington

Registered Investment Advisory firm - (2/26/2025 Approved)

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Contact information

Main Address

Fox Island, WA

Mailing Address

Po Box 648, Fox Island, WA 98333

Phone number

(253) 495-0080

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Scott G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NORTHERN MONARCH CAPITAL LLC

SABIN INVESTMENT MANAGEMENT, INC.

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1998

Series 63

Date: 10/21/1993

Series 7

Date: 1/13/1994

Current Firm

NORTHERN MONARCH CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

NORTHERN MONARCH CAPITAL LLC

TRUST BUT VERIFY

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