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Scott P. Smith
J. W. COLE ADVISORS
Huntington Beach, CA 92647
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CRD#: 4522269
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Professional summary
Scott Paul Smith is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Huntington Beach, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Scott has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 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) Smith Wealth Partners; Information/website; Investment Related; 17011 Beach Blvd, Suite 900, Huntington Beach, CA 92647; Manager; Client facing business name and website offering clients more information about advisory practice as well as log-in portals for Wealthscape and Albridge; Start 2/13/2024; 10 hours/month, 10 hours/month during trading. (2) Insurance Services; Not investment related; 17011 Beach Blvd, Suite 900, Huntington Beach, CA 92647; Life Agent; Life/Health agent servicing existing clients for their life & LTC needs; Start 10/1/24; 16 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Paul 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
March 8, 2024 - Present
J. W. COLE ADVISORS, INC.
Office #1: 17011 Beach Blvd #800, Huntington Beach, CA 92647RIA
CRD#: 112294
Huntington Beach, CA
Past
May 21, 2020 - April 12, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Huntington Beach, CA
Past
May 20, 2020 - February 3, 2023
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Huntington Beach, CA
Past
June 12, 2008 - April 14, 2020
EDWARD JONES
RIA
CRD#: 250
HUNTINGTON BEACH, CA
Past
June 4, 2002 - April 14, 2020
EDWARD JONES
BD
CRD#: 250
HUNTINGTON BEACH, CA
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 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.Highlighted states indicate IAR registrations
IAR
California(3/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
