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AS

Aaron J. Smith

SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS
CHINO HILLS, CA
Some features on this profile are disabled
CRD#: 4129234
AS

Professional summary

Aaron Joseph Smith SR. is a registered financial advisor currently at SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS located in Chino Hills, California.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Aaron has worked at 3 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

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 Aaron Joseph Smith SR.'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

June 24, 2003 - Present

SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS

RIA
CRD#: 125488
CHINO HILLS, CA
Past

February 12, 2003 - June 15, 2005

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

October 31, 2000 - January 24, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
NORCO, CA
Past

March 30, 2000 - January 24, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
(6/24/2003)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/18/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 4/27/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/2000
General Securities Representative Examination

Current Firm

SF
SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS
FUSION ADVISOR | SMITH COMPANY RETIREMENT PLAN SERVICES | SMITH COMPANY PRIVATE ASSET MANAGEMENT | SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS | SMITH COMPANY FINANCIAL ADVISORS | PRIVATE WEALTH ASSET MANAGEMENT | FUSION FUNDS

CRD#: 125488 / SEC#:

California
Registered Investment Advisory firm - (6/24/2003 Approved)
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Contact information

Main Address
412 N Main Street, Suite 100, Buffalo, WY 82834
Mailing Address
Phone number
(949) 415-5305
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV
0

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SMITH COMPANY FINANCIAL ADVISORS / FUSION FUNDS

CRD#: 125488Chino Hills, CA

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