SS
Scott K. Smith
GOLDEN STATE WEALTH MANAGEMENT
South Coast Metro, CA 92707
Some features on this profile are disabled
CRD#: 4400994
SS
Professional summary
Scott Keith Smith, who also goes by Scott Keith Scott, is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in South Coast Metro, California and LPL FINANCIAL LLC located in Riverside, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Scott has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Keith Scott
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. 11/17/2010: Renaissance Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 90% Time Spent - DBA is S-Corp.
2. 10/9/2019 - Golden State Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/01/2018 - 160 Hours Per Month/130 Hours During Securities Trading - I provide investment advisory services through Golden State Wealth Management, LLC, an independent investment advisor firm. I started this business activity in October 2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Keith 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®
NoneExperience
Current
September 4, 2018 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
Office #1: 201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707RIA
CRD#: 167995
South Coast Metro, CA
Current
November 30, 2010 - Present
LPL FINANCIAL LLC
Office #1: 5029 La Mart Dr Ste F, Riverside, CA 92507-0605RIA
BD
CRD#: 6413
Riverside, CA
Past
November 24, 2010 - September 5, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Riverside, CA
Past
September 22, 2009 - December 1, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
VICTORVILLE, CA
Past
September 21, 2009 - November 30, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
VICTORVILLE, CA
Past
June 3, 2005 - September 22, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
VICTORVILLE, CA
Past
June 3, 2005 - September 22, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
VICTORVILLE, CA
Past
March 19, 2002 - June 8, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
VICTORVILLE, CA
Past
June 14, 2001 - June 8, 2005
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".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)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(11/30/2010)
RR
California(11/30/2010)
IAR
California(9/4/2018)
RR
Florida(1/2/2024)
RR
Nevada(3/23/2015)
RR
Tennessee(3/31/2015)
RR
Texas(1/2/2015)
RR
Utah(2/22/2023)
RR
Virginia(8/6/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
