AS
Aaron T. Smith
SMITH FINANCIAL INVESTMENT ADVISORS
Kokomo, IN 46902
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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.
1. NAME OF BUSINESS:SMITH FINANCIAL INVESTMENT ADVISORS, INC. 1830 S.PLATE ST, KOKOMO, IN 46902. 765-459-4111. NO EMAIL.THIS IS A CORPORATION. NATURE OF BUSINESS:REGISTERED INVESTMENT ADVISER. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:INVESTMENT ADVISER REP AND CHIEF COMPLIANCE OFFICER, DUTIES:INVESTMENT RESEARCH, PLAN PREP FOR CLIENTS, COMPLIANCE ACTIVITIES. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:140. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:140. DATE STARTED:JUNE 2010. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:SALARY.
2. NAME OF BUSINESS:SMITH FINANCIAL/ROCKE AND SMITH 1830 S. PLATE STREET, KOKOMO, IN 46902. 765-459-4111. EMAIL:AARONSMITH@SMITHFINANCIAL.COM THIS BUSINESS IS AN LLC. NATURE OF BUSINESS:INSURANCE SALES. IS THIS BUSINESS INVESTMENT RELATED:NO TITLE: FINANCIAL ANALYST. DUTIES:ASSIST IN CLIENT MEETINGS AND PRESENTATION PREPARATION. APPROX. #R OF HOURS PER MONTH DEVOTED TO ACTIVITY:35. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:35. DATE STARTED:JULY 2000. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:SALARY.
3. NAME OF BUSINESS:COMMUNITY FOUNDATION OF HOWARD COUNTY, INC. 215 W SYCAMORE, KOKOMO, IN 46901. 765-454-7298. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS: COMMUNITY FOUNDATION. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:INVESTMENT COMMITTEE MEMBER. DUTIES:PREPARATION OF INVESTMENT REPORTS, PARTICIPATE IN INVESTMENT DECISION MAKING PROCESS. APPROX # OF HOURS PER MONTH DEVOTED TO ACTIVITY:2HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2HOURS. DATE STARTED:AUGUST 2009. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED: NONE.
4. NAME OF BUSINESS:BOY SCOUTS OF AMERICA - SAGAMORE COUNCIL 518 N. MAIN ST, KOKOMO, IN 46901. 800-844-0537. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS: YOUTH SERVICES. IS THIS BUSINESS INVESTMENT RELATED: NO. TITLE: VP OF DEVELOPMENT. DUTIES: OVERSEE FUNDRAISING AND CERTAIN FINANCIAL REPORTING, INVESTMENT COMMITTEE. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY: 5-10 HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2 HOURS. DATE STARTED:JANUARY 2018. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE.
5. NAME OF BUSINESS:ROTARY CLUB OF KOKOMO, PO BOX 311, KOKOMO, IN 46903-0311. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:COMMUNITY SERVICE/NON-PROFIT. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:TREASURER. DUTIES:GENERAL BOARD MEMBER, BANK RECONCILIATION, BILL PAYMENT (INCLUDES ISSUING CHECKS) . APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:2 HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:2012, (TREASURER 1/2017). FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:I RECEIVE NO COMPENSATION.
6. NAME OF BUSINESS: AARON SMITH LAW SERVICES. 1830 S. PLATE ST., KOKOMO, IN 46902. 765-459-4111. NO EMAIL. THIS BUSINESS IS A SOLE PROPRIETORSHIP. NATURE OF BUSINESS:AARON SMITH LAW SERVICES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:ATTORNEY/OWNER. DUTIES:LEGAL SERVICES. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:10HOURS. APPROX # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:10HOURS. DATE STARTED:12/2014. FINANCIAL INTEREST IN THIS BUSINESS:YES, I AM THE PROPRIETOR. HOW COMPENSATED:NET INCOME.
7.NAME OF BUSINESS:KOKOMO CEO PROGRAM, NO PHYSICAL ADDRESS OR PHONE NUMBER. NO EMAIL. THIS BUSINESS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:CHARITABLE ORGANIZATION. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:BOARD MEMBER. DUTIES:ATTEND BOARD MEETINGS, PARTICIPATE IN ORGANIZATION FUNDING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:2-3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:10/25/2015. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NO COMPENSATION.
CRS (Client Relationship Summary) - RIA
Click below to view Aaron Taylor 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: 2012
Experience
Current
May 17, 2011 - Present
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
Office #1: 1830 S. Plate St., Kokomo, IN 46902RIA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 378,041,360 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/28/2025 | ||
| 02/28/2024 | ||
| 02/21/2023 |
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.
