John M. Smith

LEGACY FINANCIAL ADVISORS

Glenview, IL

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CRD#: 3110921

Professional summary

John Morgan Smith IV is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Glenview, Illinois.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 4 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 other business in Investment related. Since September of 2006, I have been Chief Investment Officer and Partner for Edge Financial Advisors, LLC , an RIA Firm. The address is 1776A S. Naperville Rd, Suite 102, Wheaton, IL 60189. I devote aprox. 240 hours per month to the other business. I devote approx. 160 hours per month to the other business during securities trading hours. A brief description of my duties for the other business is Chief Investment Officer, financial planning, trading, portfolio construction, economic and investment research and client relationship management.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Morgan Smith IV'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®

None

Experience

Current

September 9, 2024 - Present

LEGACY FINANCIAL ADVISORS, INC.

RIA

CRD#: 158675

Glenview, IL

Past

September 25, 2019 - August 19, 2021

ARBOR FINANCIAL SERVICES, LLC

RIA

CRD#: 150713

DOWNERS GROVE, IL

Past

September 16, 2015 - September 13, 2017

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

January 23, 2012 - December 31, 2013

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

WINFIELD, IL

Past

February 9, 2007 - December 31, 2011

MT RUSHMORE SECURITIES LLC

CRD#: 130955

WINFIELD, IL

Past

September 8, 2006 - November 18, 2024

EDGE FINANCIAL ADVISORS, LLC

RIA

CRD#: 136426

Wheaton, IL

Past

October 5, 2000 - September 11, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OAK BROOK, IL

Past

October 20, 1999 - September 15, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

September 9, 1998 - July 28, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 9, 1998 - July 28, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

LEGACY FINANCIAL ADVISORS, INC.

CRD#: 158675 / SEC#: 801-72637

RIA

Registered Investment Advisory firm - (8/2/2011 Approved)

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

Illinois
(9/9/2024)

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: 2/2/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/26/2004

Registered Options Principal Examination

Current Firm

LEGACY FINANCIAL ADVISORS, INC.

CRD#: 158675 / SEC#: 801-72637

RIA

Registered Investment Advisory firm - (8/2/2011 Approved)

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Contact information

Main Address

117 East Fourth Street, Covington, KY 41011

Mailing Address

Phone number

(859) 655-5225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY FINANCIAL ADVISORS BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	3,515
AUM (Assets Under Management)	$ 1,255,617,352

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

John M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ARBOR FINANCIAL SERVICES, LLC

ALPHA CUBED INVESTMENTS, LLC

MIDAMERICA FINANCIAL SERVICES, INC.

MT RUSHMORE SECURITIES LLC

EDGE FINANCIAL ADVISORS, LLC

FIDELITY BROKERAGE SERVICES LLC

VANGUARD MARKETING CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEGACY FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2005

Series 63

Date: 3/3/1999

Series 7

Date: 9/8/1998

Series 4

Date: 2/26/2004

Current Firm

LEGACY FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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