John Fremont-smith

FRIENDS WEALTH MANAGEMENT

ELLICOTT CITY, MD

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CRD#: 3146231

Professional summary

John Fremont-smith, who also goes by John Xavier Fremont-smith, John Xavier Fremontsmith, is a registered financial advisor currently at FRIENDS WEALTH MANAGEMENT located in Ellicott City, Maryland.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Xavier Fremont-Smith | John Xavier Fremontsmith

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 John Fremont-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

May 29, 2024 - Present

FRIENDS WEALTH MANAGEMENT

RIA

CRD#: 330395

ELLICOTT CITY, MD

Past

October 5, 2023 - February 16, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Hunt Valley, MD

Past

October 5, 2023 - February 16, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 26, 2023 - September 21, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Ellicott City, MD

Past

January 25, 2023 - September 21, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Ellicott City, MD

Past

August 19, 2019 - June 10, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Columbia, MD

Past

August 19, 2019 - June 10, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Columbia, MD

Past

April 4, 2017 - May 17, 2019

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

ELLICOTT CITY, MD

Past

April 3, 2017 - May 17, 2019

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

June 28, 2013 - February 23, 2017

CALAMOS ADVISORS LLC

RIA

CRD#: 105758

ELLICOTT CITY, MD

Past

June 28, 2013 - February 23, 2017

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

January 22, 2009 - June 3, 2013

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

ELLICOTT CITY, MD

Past

November 6, 2006 - June 3, 2013

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 28, 2001 - November 2, 2006

TOUCHSTONE SECURITIES, LLC

CRD#: 1526

CINCINNATI, OH

Past

May 1, 2000 - August 6, 2001

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

March 26, 1999 - April 27, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Maryland
(5/29/2024)

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 65

Date: 1/20/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/22/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/1/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FRIENDS WEALTH MANAGEMENT

FREMONT-SMITH & CO. LLC | FRIENDS WEALTH MANAGEMENT | FREMONT-SMITH & CO., L.L.C.

CRD#: 330395 / SEC#:

Maryland

Registered Investment Advisory firm - (5/23/2024 Approved)

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Contact information

Main Address

Ellicott City, MD

Mailing Address

Phone number

(410) 707-9230

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

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John Fremont-smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Fremont-smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

CALAMOS ADVISORS LLC

CALAMOS FINANCIAL SERVICES LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

TOUCHSTONE SECURITIES, LLC

MFS FUND DISTRIBUTORS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2009

Series 63

Date: 5/7/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/22/2007

Series 6

Date: 12/1/1998

Current Firm

FRIENDS WEALTH MANAGEMENT

Contact information

Documents

Red Flags

Company Information

FRIENDS WEALTH MANAGEMENT

TRUST BUT VERIFY

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