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JP

Jiang Peng

SMITH AFFILIATED CAPITAL
NEW YORK, NY 10006
Some features on this profile are disabled
CRD#: 3190815
JP

Professional summary

Jiang Peng is a registered financial advisor currently at SMITH AFFILIATED CAPITAL CORP. located in New York, New York.

Jiang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Jiang has worked at 2 firms and has passed the Series 63 and Series 7 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jiang Peng'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

July 30, 2025 - Present

SMITH AFFILIATED CAPITAL CORP.

Office #1: 45 Broadway Suite 210, New York, NY 10006
RIA
CRD#: 107675
NEW YORK, NY
Past

June 1, 1999 - July 30, 2002

BELMONT PARTNERS SECURITIES INC.

BD
CRD#: 30189
WASHINGTON, VA

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".
SA
SMITH AFFILIATED CAPITAL CORP.
SMITH AFFILIATED CAPITAL CORP | SMITH AFFILIATED CAPITAL CORP.

CRD#: 107675 / SEC#: 801-17037

RIA
Registered Investment Advisory firm - (4/1/1982 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
California
(7/30/2025)
IAR
Connecticut
(7/30/2025)
IAR
Florida
(8/21/2025)
IAR
Louisiana
(9/22/2025)
IAR
New York
(7/30/2025)
IAR
Oregon
(7/30/2025)
IAR
Texas
(7/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/28/1999
General Securities Representative Examination

Current Firm

SA
SMITH AFFILIATED CAPITAL CORP.
SMITH AFFILIATED CAPITAL CORP | SMITH AFFILIATED CAPITAL CORP.

CRD#: 107675 / SEC#: 801-17037

RIA
Registered Investment Advisory firm - (4/1/1982 Approved)
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Contact information

Main Address
45 Broadway Suite 210, New York, NY 10006
Mailing Address
Phone number
(212) 644-9440
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAC ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts124
AUM (Assets Under Management)$ 1,744,635,439

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.

Company Information

SMITH AFFILIATED CAPITAL CORP.

CRD#: 107675New York, NY 10006

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