Kevin J. Smith
JANNEY MONTGOMERY SCOTT LLC | Executive Vice President - Wealth Management/Financial Advisor
York, PA 17408
CRD#: 4422934
Professional summary
Kevin Joel Smith, AIF®, CFA, CFP®, ChFC®, CLU® is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in York, Pennsylvania.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Biography
Named by Forbes as a "Best-in-State Wealth Advisor" and by the Financial Times as a "Top 400 Advisor" nationwide, Kevin’s career in the areas of finance, accounting, and comprehensive financial and investment planning spans over 30 years.
A former Janney "Financial Advisor of the Year", his unique business background and broad financial experience have benefited an extensive list of individual and institutional clients in that time. Before joining Janney Montgomery Scott, he had previously served in similar positions with Legg Mason and Smith Barney. Prior to founding his wealth advisory practice in 2001, he was a senior executive at Glatfelter (NYSE:GLT), a global supplier of specialized papers headquartered in York, PA, where he served in numerous positions including Divisional Controller and Director of one of the company’s largest business units.
Kevin’s vast experience includes planning for education and retirement, philanthropic and estate planning, and the development of solutions and strategies for the complex needs of corporate executives, business owners, and affluent individuals and their families. He has become a recognized figure in retirement income planning with in depth knowledge of Social Security benefits, retirement income taxation, optimal distribution planning, and broad knowledge of numerous retirement systems such as TIAA-CREF, PSERS, MSRPS, FERS, and CSRS. He was previously named one of “America’s Best Financial Planners” by Consumers’ Research Council of America.
Kevin’s many professional designations represent the pinnacle of the financial planning and investment professions, including:
- Chartered Financial Analyst (CFA®)
- Certified Financial Planner™ (CFP®) professional
- Accredited Investment Fiduciary® (AIF®)
- Chartered Financial Consultant (ChFC®)
- Chartered Life Underwriter (CLU®)
- Chartered Advisor in Philanthropy (CAP®)
- Chartered Retirement Planning Counselor℠ (CRPC®)
- Certification in Long-Term Care (CLTC®)
- National Social Security Advisor℠ (NSSA®)
- Retirement Income Certified Professional (RICP®)
- Accredited Wealth Management Advisor℠ (AWMA®)
- Accredited Asset Management Specialist℠ (AAMS®).
His insights have been featured in national publications such as U.S. News & World Report, Forbes, Investopedia, TheStreet, MSN and YahooFinance.
Kevin has a Bachelor of Arts degree in Management and Economics from Gettysburg College, where he was class Salutatorian and a Summa Cum Laude graduate.
PERSONAL BACKGROUND
A lifelong resident of York County, PA, Kevin has formerly served as a council member of the Borough of Stewartstown and as Vice President of the York County SPCA board. He is actively involved with the Stewartstown Lions Club, FamilyFirst Health, Leave a Legacy York County, South Eastern Community Education Foundation, Dollars for Scholars, St. Joseph Church, Women's Care Center of York, Gettysburg College, and numerous other civic organizations in various volunteer and leadership capacities.
Question & Answer
What are your service offerings?
Financial Planning,
Investment Management,
Tax Planning,
Trust Services,
Retirement Planning,
Estate Planning,
Business Planning,
Banking Services (Savings, Che...
Business Valuation and Exit Pl...
Individual Insurance (Life, He...
Individual Insurance (Life, He...
Financial Coaching
Do you have an area of expertise or specialization?
Alternative Investments,
Cash Flow Analysis,
College Planning,
Credit & Lending Needs,
Customized Portfolios,
Debt Management and Consolidat...
Divorce Planning,
Endowments and Charities,
Emergency Funds Management,
ESG (Environmental Social Gove...
Estate Planning,
Executive Compensation (ISO, R...
FIRE (Financial Independence R...
High Net Worth Planning,
Investment Management,
Philanthropic and Non-Profit,
Real Estate (LLP, REIT's, Priv...
Retirement Planning,
Risk Management and Insurance ...
Special Needs Families,
Small Business Planning,
Trust and Estate Planning,
Tax Planning and Preparation,
Budgeting,
Blended Families
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
How do you get paid?
% of AUM,
Fixed Fee
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 RENTAL PROPERTY; 348 HUNT CLUB RD, FAWN GROVE, PA 17321; POSITION/TITLE: 50% OWNER/CO-OWNER WITH SISTER/LANDLORD; START: INHERITED IN 1986; DEVOTES 2 HRS PER MONTH; COMPENSATED. #2 Leave a Legacy York County, 137 E. Market Street, York, PA; Position: Steering Committee Member; Duties: Meet quarterly with steering committee which is essentially a Board of Directors who guides the organization in its mission to promote and enhance philanthropy and charitable giving in York county; Devotes 1 hour per month; Not compensated. #3 Family First Health ("FFH"), York, PA; Not Investment Related; Nature: FFH is a recognized Patient-Centered Medical Home and provides team-based care with a focus on wellness and prevention. Its providers meet patients' needs through ongoing, consistent preventative care and deliver the full range of services for patients; Title/Position: Member, Finance Committee; Duties: Meet monthly to review financial standing of organization and provide related counsel to further the aims of the organization through prudent financial oversight; Devotes 1.5 hours/month; Not Compensated. #4 Women's Care Center, York PA; Not Investment Related; Nature: Health Care -Pro-life Women's Pregnancy and Resource Center; Title/Position: Board Member; Duties: Quarterly board meetings for a 3 year board term; Devotes 1 hour/month; Not compensated. #5 Kindness Worldwide, York, PA. Founder (10/17/2023) - Supports various initiatives to promote and spread Kindness, including annual proclamations of Kindness Week. Not investment related, not compensated, 40 hours/month.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Joel Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Joel 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: 2002
Experience
Current
February 20, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1700 Westgate Drive Suite 103, York, PA 17408RIA
BD
CRD#: 463
York, PA
Current
February 19, 2009 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: 1700 Westgate Drive Suite 103, York, PA 17408RIA
BD
CRD#: 463
York, PA
Past
February 21, 2006 - March 10, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
YORK, PA
Past
August 2, 2001 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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(6/8/2010)
RR
Arkansas(7/8/2025)
RR
California(2/19/2009)
IAR
California(7/9/2009)
RR
Colorado(7/8/2025)
RR
Connecticut(1/9/2019)
IAR
Connecticut(1/9/2019)
RR
Delaware(2/19/2009)
RR
Florida(2/19/2009)
RR
Georgia(1/31/2013)
RR
Idaho(8/13/2021)
RR
Illinois(7/17/2025)
RR
Indiana(3/5/2025)
RR
Iowa(7/2/2020)
RR
Louisiana(7/8/2025)
RR
Maine(6/12/2018)
RR
Maryland(2/19/2009)
RR
Massachusetts(2/19/2009)
RR
Michigan(2/19/2009)
IAR
Michigan(1/26/2010)
RR
Missouri(2/19/2009)
RR
Nevada(6/18/2025)
RR
New Hampshire(11/6/2014)
RR
New Jersey(2/19/2009)
IAR
New Jersey(6/18/2009)
RR
New Mexico(6/9/2023)
RR
New York(2/19/2009)
RR
North Carolina(2/19/2009)
RR
Ohio(2/19/2009)
IAR
Ohio(3/22/2010)
RR
Oregon(4/27/2017)
RR
Pennsylvania(2/19/2009)
IAR
Pennsylvania(2/20/2009)
RR
Rhode Island(2/12/2019)
RR
South Carolina(3/17/2021)
RR
Tennessee(1/9/2017)
RR
Texas(8/27/2025)
IAR
Texas(8/27/2025)
RR
Vermont(2/19/2009)
RR
Virginia(2/19/2009)
RR
Washington(6/8/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
Executive Vice President - Wealth Management/Financial AdvisorCRD#: 463York, PA 17408TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
