Timothy A. Smith

FAIRWAY ASSET MANAGEMENT

SAN RAMON, CA 94583

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CRD#: 2936153

Professional summary

Timothy Allen Smith, who also goes by Timothy A Smith, is a registered financial advisor currently at FAIRWAY ASSET MANAGEMENT, INC. located in San Ramon, California.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Timothy has worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy A 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.

FAIRWAY ASSET MANAGEMENT INC. DBA F.A.M. INSURANCE AGENCY; INVESTMENT- RELATED; 2010 CROW CANYON PLACE, SUITE 100, SAN RAMON, CA 94583, INSURANCE SERVICES, OWNER, START DATE: 03/05/2009; 10 HOURS DEVOTED TO OTHER BUSINESS PER MONTH; 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS; FIND LIFE INSURANCE POLICIES AND FIXED ANNUITIES WITH FEATURES THAT BEST FIT THE CLIENT'S NEEDS FOR INCOME REPLACEMENT AND SAFETY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Allen 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 18, 2011 - Present

FAIRWAY ASSET MANAGEMENT, INC.

Office #1: 2010 Crow Canyon Place Suite 100, San Ramon, CA 94583

RIA

CRD#: 142038

SAN RAMON, CA

Past

January 9, 2007 - December 31, 2010

FAIRWAY ASSET MANAGEMENT, INC.

RIA

CRD#: 142038

SAN RAMON, CA

Past

February 23, 2005 - January 9, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WALNUT CREEK, CA

Past

February 23, 2005 - January 9, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WALNUT CREEK, CA

Past

September 25, 2001 - March 16, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PLEASANTON, CA

Past

September 17, 2001 - March 16, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 20, 2001 - September 27, 2001

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

November 26, 1999 - June 12, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 8, 1997 - November 30, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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
(2/18/2011)

IAR

Texas
(2/12/2016)

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 66

Date: 11/14/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/1997

General Securities Representative Examination

Current Firm

FAIRWAY ASSET MANAGEMENT, INC.

FAIRWAY ASSET MANAGEMENT, INC. | FAIRWAY FINANCIAL EDUCATION

CRD#: 142038 / SEC#:

California

Registered Investment Advisory firm - (1/9/2007 Approved)

Texas

Registered Investment Advisory firm - (2/12/2016 Conditional Restricted)

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Contact information

Main Address

2010 Crow Canyon Place Suite 100, San Ramon, CA 94583

Mailing Address

Phone number

(925) 553-7487

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	162
AUM (Assets Under Management)	$ 58,944,666

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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Timothy A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Allen Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAIRWAY ASSET MANAGEMENT, INC.

FAIRWAY ASSET MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/1997

Series 7

Date: 10/7/1997

Current Firm

FAIRWAY ASSET MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FAIRWAY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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