Jeffrey J. Smith
KESTRA PRIVATE WEALTH SERVICES
Bloomfield Hills, MI 48304
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CRD#: 4330580
Professional summary
Jeffrey J. Smith, CFP®, CPWA®, who also goes by Jeffrey John Smith, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Bloomfield Hills, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Bloomfield Hills, Michigan.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey John 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.
Name: COMMITTEE VOLUNTEERING POSITION: Member NATURE: Committee Volunteer INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/14/2023 ADDRESS: 3951 West Maoe Road, Bloomfield Hills MI 48301 DESCRIPTION: Attend meetings 1 time per month Name: NOTARY POSITION: Notary NATURE: Notary Stamp INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/10/2021 ADDRESS: 40701 Woodward Ave, Ste 103, Bloomfield Hills MI 48304, United States DESCRIPTION: i can Notarize documents for clients that need documents notarized. Name: WOLFSDAD INVESTMENTS, INC. POSITION: Owner NATURE: Pass Through Entity INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/04/2020 ADDRESS: 40701 Woodward Ave, Suite 103, Bloomfield Hills MI 48304, United States DESCRIPTION: This is my PTE used for my Kestra Revenue Name: OWL PRIVATE WEALTH ADVISORS POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/16/2020 ADDRESS: 40701 Woodward Ave, Ste 103, Bloomfield Hills MI 48304, United States DESCRIPTION: Client interaction, planning on business operations
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey J. 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: 2006
CPWA®
Start date: 2017-06-27
Expire date: 2023-05-31
Experience
Current
January 30, 2020 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 40701 Woodward Ave Suite 103, Bloomfield Hills, MI 48304RIA
CRD#: 155193
Bloomfield Hills, MI
Current
January 30, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 40701 Woodward Avenue Suite 103, Bloomfield Hills, MI 48304BD
CRD#: 42046
Bloomfield Hills, MI
Past
August 24, 2011 - February 10, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TROY, MI
Past
August 19, 2011 - February 10, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TROY, MI
Past
June 18, 2007 - August 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BLOOMFIELD HILLS, MI
Past
June 15, 2007 - August 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BLOOMFIELD HILLS, MI
Past
June 14, 2002 - June 26, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TROY, MI
Past
March 1, 2001 - June 20, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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.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
Arizona(1/30/2020)
RR
California(1/30/2020)
RR
Florida(1/30/2020)
RR
Georgia(1/4/2023)
RR
Illinois(2/13/2025)
RR
Michigan(1/30/2020)
IAR
Michigan(1/30/2020)
RR
Montana(1/30/2020)
RR
Nevada(1/30/2020)
RR
Ohio(1/30/2020)
RR
Tennessee(1/30/2020)
RR
Texas(10/18/2024)
IAR
Texas(3/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
