Gregory J. Smith

MISSION WEALTH MANAGEMENT, LP

Santa Barbara, CA 93101

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CRD#: 2438534

Professional summary

Gregory John Smith, CFP® is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Santa Barbara, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Gregory has worked at 6 firms and has passed the Series 63, Series 7 and Series 6 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.

HEALTH INSURANCE - BLUE CROSS - AGENT - 2.5%; HEALTH INSURANCE - BLUE SHIELD - AGENT - 2.5%;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Smith's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

November 4, 2003 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 1111 Chalapa Street 3rd Floor, Santa Barbara, CA 93101

RIA

CRD#: 113057

Santa Barbara, CA

Past

May 15, 2003 - December 31, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SANTA BARBARA, CA

Past

May 13, 2003 - September 24, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

SANTA BARBARA, CA

Past

October 28, 1999 - September 30, 2002

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

June 13, 1995 - October 15, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 5, 1995 - June 14, 1995

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

January 13, 1994 - April 10, 1995

NYLIFE SECURITIES LLC

CRD#: 5167

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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 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.

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
(11/4/2003)

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

Series 63

Date: 1/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/1/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/12/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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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Firm Stability Insights

Gregory J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CENTAURUS FINANCIAL, INC.

SUNAMERICA SECURITIES, INC.

PLANMEMBER SECURITIES CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/12/1994

Series 7

Date: 12/1/1998

Series 6

Date: 1/12/1994

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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