Jonathan J. Smith

PATHWAY FINANCIAL ADVISORS

SOUTH BURLINGTON, VT 05403

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CRD#: 3128341

Professional summary

Jonathan Jenness Smith, CFP®, who also goes by Jon Smith, is a registered financial advisor currently at PATHWAY FINANCIAL ADVISORS, LLC located in South Burlington, Vermont.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jonathan has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

My core purpose is to illuminate paths and provide support for the discovery and pursuit of a fulfilling life.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Do you have an area of expertise or specialization?

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Jon 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 Jonathan Jenness 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

Start date: 2016

Experience

Current

February 20, 2018 - Present

PATHWAY FINANCIAL ADVISORS, LLC

Office #1: 725 Community Drive Suite 402, South Burlington, VT 05403

RIA

CRD#: 124801

SOUTH BURLINGTON, VT

Past

July 11, 2016 - March 6, 2018

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

December 20, 2005 - March 6, 2018

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Richmond, VT

Past

November 1, 2004 - November 7, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

BURLINGTON, VT

Past

July 18, 2003 - November 7, 2005

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 28, 1999 - June 20, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 9, 1999 - September 24, 1999

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 20, 1998 - February 1, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 20, 1998 - February 1, 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".

PATHWAY FINANCIAL ADVISORS, LLC

CRD#: 124801 / SEC#: 801-64598

RIA

Registered Investment Advisory firm - (8/15/2005 Approved)

Vermont

Registered Investment Advisory firm - (8/25/2005 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

Vermont
(2/20/2018)

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: 7/8/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/1998

General Securities Representative Examination

Current Firm

PATHWAY FINANCIAL ADVISORS, LLC

CRD#: 124801 / SEC#: 801-64598

RIA

Registered Investment Advisory firm - (8/15/2005 Approved)

Vermont

Registered Investment Advisory firm - (8/25/2005 Terminated)

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Contact information

Main Address

725 Community Drive Suite 402, South Burlington, VT 05403

Mailing Address

Phone number

(802) 660-7086

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	955
AUM (Assets Under Management)	$ 894,825,875

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Jonathan J. Smith

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Jenness Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

EQUITY SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

PATHWAY FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2016

Series 63

Date: 8/4/2005

SIE

Date: 3/6/2018

Series 7

Date: 10/14/1998

Current Firm

PATHWAY FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATHWAY FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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