AS
Andrew K. Smith
CORNERSTONE WEALTH
Huntersville, NC 28078
Some features on this profile are disabled
CRD#: 3148469
AS
Professional summary
Andrew Kelsey Smith, AIF®, CFP®, who also goes by Andrew Smith, Andy Smith, is a registered financial advisor currently at CORNERSTONE WEALTH located in Huntersville, North Carolina and MUTUAL SECURITIES, INC. located in Huntersville, North Carolina.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Smith | Andy 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.
1. CFP Holdings, Inc., S-Corp, Start Date:10/11/16, 3436 Torington Way, Ste. 210, Charlotte, NC 28277, Administrative Operations/Partner, Investment Related, 1 hour per month, 0 hours per day during trading hours. 2. Cornerstone Risk Management Advisors, LLC, Start Date: 01/01/18, 3436 Torington Way, Ste. 210, Charlotte, NC 28277, Insurance Pay through company, Agent, Investment related, 5 hours per month, 0 hours per day during trading hours. 3. Cornerstone Wealth Group, LLC Dba Cornerstone Wealth, Start Date: 01/01/18, 3436 Torington Way, Ste. 210, Charlotte, NC 28277, RIA/Managing Partner, Investment related, 160 hours per month, 8 hours per day during trading hours. 4. Smith Realty Holding of SC, LLC., Start Date: 11/09/2021, 221 N. Oak Dr., Surfside Beach, SC 29575, Rental Property, Member, Pay mortgage, taxes, insurance and utility bills, management company hired to market property, manage rentals, handle maintenance and collect all payments, Not Investment Related, 0-5 Hours per month, 0-5 Hours per day during trading hours. 5. Smith Realty Holdings, LLC., Start Date: 11/09/2021, 2013 Billy Howey Rd, Waxhaw, NC 28173, LLC, Member, Pay mortgage, taxes and insurance, management company hired for screening and selecting tenants, collecting rent and handling service matters, Not Investment Related, 0-5 Hours per month, 0-5 Hours per day during trading hours. 6. Vistage Worldwide CEO Advisory Board, Start Date: 09/08/2022, 4840 Eastgate Mall, San Diego, CA 92121, Corporation, Board, Member, Member of advisory board, learn from and share ideas with other CEOs, presidents and managing partner, Not Investment Related, 5-10 Hours per month, 0-5 Hours per day during trading hours. 7. Home Rental, Start Date: 03/19/2025, 387 W First St., Ocean Isle Beach, NC 28469, Sole-Proprietorship, Rental Property, Owner, Pay mortgage and bills, Not Investment Related, 1-5 hours per month, 1-5 hours per day during trading hours. 8. CWG Management Group, LLC., Start Date: 01/01/2018, 16810 Kenton Dr., Ste. 200, Huntersville, NC 28078, LLC, Management Company with operating authority and control over CWG (RIA entity), Managing Member, Management duties, 10 Hours per week, 2 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Kelsey 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®
CFP®
Start date: 2007
Experience
Current
January 5, 2018 - Present
CORNERSTONE WEALTH
Office #1: 16810 Kenton Drive Suite 200, Huntersville, NC 28078RIA
CRD#: 289971
Huntersville, NC
Current
November 1, 2017 - Present
MUTUAL SECURITIES, INC.
Office #1: 16810 Kenton Drive Suite 200, Huntersville, NC 28078BD
CRD#: 13092
Huntersville, NC
Past
July 20, 2011 - December 31, 2017
CORNERSTONE WEALTH
RIA
CRD#: 157935
HUNTERSVILLE, NC
Past
July 20, 2011 - November 8, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
HUNTERSVILLE, NC
Past
November 18, 2003 - July 20, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CORNELIUS, NC
Past
November 18, 2003 - July 20, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CORNELIUS, NC
Past
April 9, 2001 - November 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 16, 1998 - February 11, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
CW
CORNERSTONE WEALTH
CORNERSTONE ENTERPRISE SOLUTIONS GROUP | INVESTMENT DYNAMEX | CORNERSTONE WEALTH GROUP, LLC | CORNERSTONE WEALTH | CORNERSTONE SPORTS ADVISORY GROUP | CORNERSTONE RETIRE
CRD#: 289971 / SEC#: 801-112164
RIA
Registered Investment Advisory firm - (12/22/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/8/2017)
RR
Arizona(1/13/2020)
RR
California(11/1/2017)
RR
Colorado(11/1/2017)
RR
Delaware(11/1/2017)
RR
District of Columbia(11/8/2017)
RR
Florida(11/1/2017)
RR
Georgia(11/1/2017)
RR
Idaho(11/1/2017)
RR
Illinois(4/25/2022)
RR
Indiana(11/8/2017)
RR
Kansas(1/13/2020)
RR
Kentucky(11/8/2017)
RR
Louisiana(11/8/2017)
IAR
Louisiana(1/5/2018)
RR
Maine(11/8/2017)
RR
Maryland(4/25/2022)
RR
Michigan(11/8/2017)
RR
Minnesota(11/8/2017)
RR
Missouri(11/8/2017)
RR
Nevada(11/8/2017)
RR
New Jersey(11/1/2017)
RR
New Mexico(1/21/2025)
RR
New York(11/1/2017)
RR
North Carolina(11/9/2017)
IAR
North Carolina(1/5/2018)
RR
Ohio(4/26/2022)
RR
Oklahoma(11/1/2017)
RR
Oregon(1/13/2020)
RR
Pennsylvania(11/8/2017)
RR
South Carolina(11/8/2017)
RR
South Dakota(11/8/2017)
RR
Tennessee(11/1/2017)
RR
Texas(11/1/2017)
IAR
Texas(1/5/2018)
RR
Utah(11/8/2017)
RR
Virginia(11/8/2017)
RR
Washington(11/1/2017)
RR
Wisconsin(8/4/2022)
RR
Wyoming(11/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CORNERSTONE WEALTH
CORNERSTONE ENTERPRISE SOLUTIONS GROUP | INVESTMENT DYNAMEX | CORNERSTONE WEALTH GROUP, LLC | CORNERSTONE WEALTH | CORNERSTONE SPORTS ADVISORY GROUP | CORNERSTONE RETIRE
CRD#: 289971 / SEC#: 801-112164
RIA
Registered Investment Advisory firm - (12/22/2017 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
16810 Kenton Drive Suite 200, Huntersville, NC 28078
Mailing Address
Phone number
(704) 987-3410
Established
Firm type
Fiscal year end
# of Employees
50
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,834 |
| AUM (Assets Under Management) | $ 2,108,342,140 |
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.
