Kenneth E. Smith

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CRD#: 2532953

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Elton Smith III, who also goes by Ken E Smith III, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken E Smith Iii

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.

1. INDEPENDENT INSURANCE AGENT;YES;7506 Top O The Morning Way, San Diego, CA 92127;FIXED INSURANCE SALES;INDEPENDENT INSURANCE AGENT;6/2011;10;10;SALES OF FIXED INSURANCE PRODUCTS 2.K.E. SMITH TAX ADVISORY GROUP DBA USA TAX AND FINANCIAL CONSULTANTS;YES;7506 Top O The Morning Way, San Diego, CA 92127;DBA;OWNER;1/2005;0;0;DBA FOR INCOME TAX PREP AND INSURANCE. 3.ELITE RESOURCE TEAM; NON- INVESTMENT RELATED; MANAGING PARTNER; 04/2014;150;150 501 W. Broadway, San Diego, CA 92101; TRAIN FINANCIAL ADVISORS ON HOW TO WORK WITH CPA'S.

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 29, 2022 - February 5, 2025

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

Tampa, FL

Past

March 19, 2020 - December 31, 2020

ELITE INVESTMENT TEAM LLC

RIA

CRD#: 296922

SAN DIEGO, CA

Past

July 22, 2015 - December 31, 2019

ROYAL FUND MANAGEMENT, LLC

RIA

CRD#: 144434

San Diego, CA

Past

June 28, 2011 - December 31, 2013

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

OCALA, FL

Past

June 23, 2010 - October 11, 2011

AMERICAN INVESTMENT SERVICES

RIA

CRD#: 144088

OCALA, FL

Past

April 15, 2003 - November 30, 2004

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

DURHAN, NC

Past

April 15, 2003 - November 30, 2004

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BOCA RATON, FL

Past

February 12, 1998 - April 23, 2003

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

DURHAM, NC

Past

April 26, 1995 - April 23, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

April 7, 1995 - April 17, 1995

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

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".

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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.

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: 12/29/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/20/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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Contact information

Main Address

9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019

Mailing Address

Phone number

(817) 888-8020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FUSION FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,334
AUM (Assets Under Management)	$ 1,077,958,560

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 E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ELITE INVESTMENT TEAM LLC

ROYAL FUND MANAGEMENT, LLC

INTEGRITY ALLIANCE, LLC.

AMERICAN INVESTMENT SERVICES

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

COPPELL ADVISORY SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2007

Series 63

Date: 3/31/1995

Series 7

Date: 10/29/2001

Series 6

Date: 3/20/1995

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPPELL ADVISORY SOLUTIONS LLC

TRUST BUT VERIFY

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