Jeffrey Stanley Smith
Professional Summary
Jeffrey Stanley Smith, who also goes by Jeff Smith, is a registered financial advisor currently at OMNICAP GROUP LLC located in El Segundo, California. Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jeffrey has worked at 2 firms and has passed the Series 65, Series 50 and Series 54 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeff Smith
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
OMNICAP GROUP LLC
Contact Information
Main Address
2286 E. Maple Ave, El Segundo, CA 90245Phone Number
(310) 318-3091# of Employees
15SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
297AUM (Assets Under Management)
$6,508,395,000Similar Advisors
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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.
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Primary Firm SEC Registration
OMNICAP GROUP LLC
State Registrations and Notice Filings
(12/3/2004)
(12/8/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Sep 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Sep 2021About the Series 54 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Stanley Smith's CRS (Customer Relationship Summary).
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