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AS

Aaron T. Smith

SMITH FINANCIAL INVESTMENT ADVISORS
Kokomo, IN 46902
Some features on this profile are disabled
CRD#: 4233192
AS

Professional summary

Aaron Taylor Smith, CFA, CFP® is a registered financial advisor currently at SMITH FINANCIAL INVESTMENT ADVISORS, INC. located in Kokomo, Indiana.

Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Aaron has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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 Aaron Taylor 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®
CFA

Chartered Financial Analyst

CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

May 17, 2011 - Present

SMITH FINANCIAL INVESTMENT ADVISORS, INC.

Office #1: 1830 S. Plate St., Kokomo, IN 46902
RIA
CRD#: 154022
Kokomo, IN
Past

January 13, 2014 - December 31, 2018

MERCAP SECURITIES, LLC

BD
CRD#: 156607
ATLANTA, GA
Past

September 2, 2010 - January 10, 2014

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
KOKOMO, IN
Past

August 31, 2009 - September 1, 2010

VALMARK ADVISERS, INC.

RIA
CRD#: 108050
KOKOMO, IN
Past

November 18, 2008 - September 1, 2010

VALMARK SECURITIES, INC.

BD
CRD#: 31243
KOKOMO, IN
Past

July 7, 2004 - November 20, 2008

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
KOKOMO, IN
Past

September 19, 2000 - November 20, 2008

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
KOKOMO, IN

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".
SF
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
IDL ADVISORS, INC. | SMITH FINANCIAL INVESTMENT ADVISORS, INC.

CRD#: 154022 / SEC#: 801-71492

RIA
Registered Investment Advisory firm - (6/15/2010 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
Indiana
(5/17/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/9/2000
General Securities Principal Examination

Current Firm

SF
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
IDL ADVISORS, INC. | SMITH FINANCIAL INVESTMENT ADVISORS, INC.

CRD#: 154022 / SEC#: 801-71492

RIA
Registered Investment Advisory firm - (6/15/2010 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1830 S. Plate St., Kokomo, IN 46902
Mailing Address
P.o. Box 2229, Kokomo, IN 46904-2229
Phone number
(765) 459-4111
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 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

SMITH FINANCIAL INVESTMENT ADVISORS, INC. (3/26/2025)

Regulatory assets under management

Total Number of Accounts613
AUM (Assets Under Management)$ 378,041,360

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/26/2026
Cover Page
Report
02/28/2025
Cover Page
Report
02/28/2024
Cover Page
Report

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 FINANCIAL INVESTMENT ADVISORS, INC.

CRD#: 154022Kokomo, IN 46902

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