Morgan H. Smith

WORTHPOINTE

Coronado, CA

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CRD#: 4620769

Professional summary

Morgan Holton Smith JR, CFP® is a registered financial advisor currently at WORTHPOINTE located in Coronado, California and CONSTITUTION WEALTH LLC located in Coronado, California.

Morgan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Morgan has worked at 8 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan Holton Smith JR's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2007

Experience

Current

August 23, 2010 - Present

WORTHPOINTE

RIA

CRD#: 143996

Coronado, CA

Current

April 12, 2022 - Present

CONSTITUTION WEALTH LLC

RIA

CRD#: 313916

Coronado, CA

Past

March 4, 2010 - December 31, 2013

TROVENA, LLC.

RIA

CRD#: 120232

SAN DIEGO, CA

Past

October 10, 2007 - February 19, 2010

EXENCIAL WEALTH ADVISORS

RIA

CRD#: 130475

SAN DIEGO, CA

Past

June 2, 2005 - September 11, 2007

MILLER/RUSSELL & ASSOCIATES, INC.

RIA

CRD#: 131483

SAN DIEGO, CA

Past

August 17, 2004 - June 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SAN DIEGO, CA

Past

August 17, 2004 - June 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

February 24, 2003 - July 26, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

January 20, 2003 - July 26, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 20, 2003 - July 26, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

WORTHPOINTE

ENCUBIC | WORTHPOINTE, LLC | WORTHPOINTE | TROVENA INVESTMENT ADVISORS | ONCUBIC, L.L.C.

CRD#: 143996 / SEC#: 801-67916

RIA

Registered Investment Advisory firm - (6/11/2007 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.

Highlighted states indicate IAR registrations

IAR

California
(8/23/2010)

IAR

Texas
(10/2/2014)

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

State Security Law Exam

IAR

Series 66

Date: 2/21/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/17/2003

General Securities Representative Examination

Current Firm

WORTHPOINTE

ENCUBIC | WORTHPOINTE, LLC | WORTHPOINTE | TROVENA INVESTMENT ADVISORS | ONCUBIC, L.L.C.

CRD#: 143996 / SEC#: 801-67916

RIA

Registered Investment Advisory firm - (6/11/2007 Approved)

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Contact information

Main Address

Ramona, CA

Mailing Address

888 Prospect Street Suite 200, La Jolla, CA 92037

Phone number

(800) 620-4232

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WORTPOINTE LLC FORM ADV PART 2 BROCHURE (7/11/2025)

Regulatory assets under management

Total Number of Accounts	1,428
AUM (Assets Under Management)	$ 885,560,603

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.

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Firm Stability Insights

Morgan H. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Morgan Holton Smith JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONSTITUTION WEALTH LLC

TROVENA, LLC.

EXENCIAL WEALTH ADVISORS

MILLER/RUSSELL & ASSOCIATES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

WORTHPOINTE

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2003

Series 7

Date: 1/17/2003

Current Firm

WORTHPOINTE

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WORTHPOINTE

TRUST BUT VERIFY

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