JS
Jeffrey D Smith
PRIVATE CLIENT SERVICES
Rockville, MD 20852
Some features on this profile are disabled
CRD#: 4624552
JS
Professional summary
Jeffrey D Smith, who also goes by Jeffrey David Smith, is a registered financial advisor currently at PRIVATE CLIENT SERVICES, LLC located in Rockville, Maryland.
Jeffrey D is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jeffrey D has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey David Smith
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) NBL REAL ESTATE. 1700 ROCKVILLE PIKE, STE 400, ROCKVILLE, MD 20852. INVEST IN MIXED USE (COMMERCIAL AND RESIDENTIAL PROPERTIES) TO HOLD AND COLLECT MONTHLY RENT. OVERSEE OPERATIONS. PREPARE BUSINESS REPORTS AND TAXES. PROPERTY MANAGEMENT IS OUTSOURCED TO AN OUTSIDE COMPANY. THERE ARE THREE OWNERS AND WE DECIDE TOGETHER TO INVEST IN ADDITIONAL PROPERTIES. WE ARE REGULARLY IN THE MARKET LOOKING FOR NEW PROPERTIES. 3 HRS/MO; 1 DURING TRADING HRS. 2) INSURANCE. 1700 ROCKVILLE PIKE, STE 400, ROCKVILLE, MD 20852. OFFER FOR SALE AND MANAGE FIXED LIFE/HEALTH INSURANCE PRODUCTS TO CONSUMERS. NEW BUSINESS, MANAGE ONGOING BUSINESS. 3) BL REAL ESTATE. 1700 ROCVILLE PIKE, STE 400, ROCKVILLE, MD 2085. REAL ESTATE RENTAL BUSINESS. I PURCHASE SINGLE FAMILY RESIDENCES TO HOLD AND COLLECT MONTHLY RENTAL INCOME. OVER SEE THE OVERALL OPERATIONS OF THE BUSINESS. I PREPARE BUSINESS REPORTS AND TAXES. I OUTSOURCE THE PROPERTY MANAGEMENT TO AN OUTSIDE COMPANY. I MANAGE THE CASH FLOW AND WITH MY BUSINESS PARTNER MAKE INVESTMENT DECISIONS. WE DO NOT SOLICIT ADDITIONAL CAPITAL AND HAVE NO INTENTION OF HAVING ADDITIONAL MEMBERS TO THE LLC. 2 HRS/MO; 2 DURING TRADING HRS. 4) BRIGHTLINE FINANCIAL - TAX MANAGEMENT OPERATIONS. 1700 ROCKVILLE PIKE, STE 400, ROCKVILLE, MD 20852. TAX PREPARATION AND ACCOUNTING SERVICES. I PROVIDE ROUTINE TAX PREPARATION SERVICES, BOOKKEEPING, AND ACCOUNTING SERVICES FOR INDIVIDUALS AND SMALL BUSINESSES. I CONTRACT WITH A CPA FIRM TO COMPLETE TAX PREPARATION AND SERVICES. SECURITIES CLIENTS MAY CHOOSE TO ENGAGE TAX PREP. SERVICES. TAX AND ACCOUNTING CLIENTS MAY CHOOSE TO ENGAGE SECURITIES SERVICES. OVERSEE THE TAX PREPARATION PROCESS FOR MY CLIENTS. PREPARE COVER SHEETS FOR THE CPA. COMMUNICATE WITH MY CLIENTS ABOUT THE CPA'S FINDING. WE COLLECT FEES FROM CLIENTS FOR THIS SERVICE WHICH ARE CHARGED HOURLY OR A SET FEE SCHEDULE ON SERVICES RENDERED. 3 HRS/MO; 3 DURING TRADING HRS. 5) MVTPA TREASURER. 16780 OAKMONT AVENUE, GAITHERSBURG, MD 20877. PARENT ASSOCIATION FOR GIRLS' GYMNASTICS TEAM. TREASURER. I PREPARE BUDGETS, RECEIVE AND DEPOSIT CHECKS, MANAGE AND APPROVE EXPENSES A USAG COMPETITIVE GIRLS GYMNASTICS TEAM. THERE ARE NO INVESTMENT ACTIVITIES ASSOCIATED WITH THE ORGANIZATION. 22 HRS/MO; 0 DURING TRADING HRS. 6) I PROVIDE SERVICES AS AN EXPERT WITNESS FOR A LEGAL FIRM IN THE AREA. NOT INVESTMENT RELATED. 15812 THISTLEBRIDGE DRIVE, ROCKVILLE, MD 20853. START DATE 06/15/2022. APPROX. 3 HOURS PER MONTH, 0 DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey D Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey D 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
July 14, 2020 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1451 Rockville Pike Ste 250, Rockville, MD 20852RIA
BD
CRD#: 120222
Rockville, MD
Current
July 14, 2020 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1451 Rockville Pike Ste 250, Rockville, MD 20852RIA
BD
CRD#: 120222
Rockville, MD
Past
January 24, 2017 - July 24, 2020
BRIGHT FUTURES WEALTH MANAGEMENT, LLC
RIA
CRD#: 284920
PITTSFORD, NY
Past
December 3, 2010 - December 31, 2019
CETERA ADVISORS LLC
RIA
CRD#: 10299
ROCKVILLE, MD
Past
December 3, 2010 - July 27, 2020
CETERA ADVISORS LLC
BD
CRD#: 10299
ROCKVILLE, MD
Past
December 6, 2005 - December 16, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ROCKVILLE, MD
Past
December 6, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
COLUMBIA, MD
Past
December 6, 2005 - December 16, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROCKVILLE, MD
Past
February 20, 2003 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
COLUMBIA, MD
Past
January 24, 2003 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
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".
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
Colorado(9/27/2021)
RR
District of Columbia(7/14/2020)
RR
Florida(7/14/2020)
RR
Maryland(7/14/2020)
IAR
Maryland(7/14/2020)
RR
New Mexico(7/14/2020)
RR
Virginia(7/14/2020)
RR
Wisconsin(7/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PRIVATE CLIENT SERVICES, LLC
AFFIANCE FINANCIAL | WEALTHHYVE ADVISORS | US PLANNING GROUP | SILVERLEAF WEALTH ADVISORY | PRIVATE CLIENT SERVICES, LLC | PCS ADVISORS | MCGILL FINANCIAL ENSEMBLE | MARION INVESTMENT ADVISORS | LINDLE HENNESSEY GROUP | KFG PRIVATE CLIENT SERVICES, LLC | KENTUCKY FINANCIAL GROUP | J&G FINANCIAL | IMPACT WEALTH GROUP | IARANN WEALTH | HERITAGE WEALTH GROUP | HAFELE INVESTMENTS | FIORI FINANCIAL | FINANCIAL CONSULTANTS GROUP | EVERGREEN STRATEGIC WEALTH | ENTHEOS FINANCIAL | DUNCAN AND HARDIN FINANCIAL | DUGAN FINANCIAL SERVICES | BURKE FINANCIAL SERVICES | BRIGHTLINE FINANCIAL | BLUE OCEAN GLOBAL WEALTH
CRD#: 120222 / SEC#: 801-71475, 8-68183
RIA
Registered Investment Advisory firm - SEC (5/25/2010 Approved)Delaware
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Florida
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/4/2010 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)New York
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/5/2018 Approved)Ohio
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (12/9/2011 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/31/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2225 Lexington Rd., Louisville, KY 40206
Mailing Address
2225 Lexington Rd., Louisville, KY 40206
Phone number
(502) 451-0600
Established
Kentucky since 02/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
60
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KFG ENTERPRISES, INC. | SHAREHOLDER | |
| PRIVATE CLIENT SERVICES EMP STOCK OWNERSHIP PLAN & TRUST | ESOP TRUST | |
| GRAHAM, TIMOTHY DALEY | PRESIDENT | 4461811 |
| IRONSIDE, JULIA MEYER | FINOP | 2441578 |
| MILLS, STEVEN RICHARD | CHIEF OPERATIONS OFFICER | 3133520 |
| SAMPSON, ERNEST AUBREY | MANAGING MEMBER, ESOP TRUSTEE | 2001651 |
| TAYLOR-JONES, JOHN PHILIP | CHIEF COMPLIANCE OFFICER | 2171620 |
| WESCOTT, MARY ELIZABETH | CHIEF ADMINISTRATION OFFICER | 4404797 |
Regulatory assets under management
| Total Number of Accounts | 3,271 |
| AUM (Assets Under Management) | $ 1,051,273,980 |
Disclosures
| Regulatory Event | 1 |
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.
