Jonathan D. Smith

ELLIS INVESTMENT PARTNERS

Berwyn, PA 19312

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CRD#: 4843601

Professional summary

Jonathan D Smith, CFA, CFP® is a registered financial advisor currently at ELLIS INVESTMENT PARTNERS, LLC located in Berwyn, Pennsylvania.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jonathan has worked at 4 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.

WEALTH PLANNING SOLUTIONS,LLC SELL INSURANCE AND ANNUITY PRODUCTS DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan D Smith'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®

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

March 27, 2012 - Present

ELLIS INVESTMENT PARTNERS, LLC

Office #1: 920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312

RIA

CRD#: 157669

Berwyn, PA

Past

April 30, 2010 - November 9, 2011

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

August 31, 2005 - April 3, 2012

CMS WEALTH MANAGEMENT

RIA

CRD#: 105903

WAYNE, PA

Past

October 6, 2004 - May 5, 2010

EQUITY SERVICES, INC.

CRD#: 265

WAYNE, PA

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".

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 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

Pennsylvania
(3/27/2012)

IAR

Texas
(4/11/2025)

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: 11/24/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/4/2004

General Securities Representative Examination

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

ELLIS INVESTMENT PARTNERS, LLC | SPECTRUM FINANCIAL GROUP INC.

CRD#: 157669 / SEC#: 801-73011

RIA

Registered Investment Advisory firm - (1/6/2012 Approved)

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Contact information

Main Address

920 Cassatt Road 200 Berwyn Park, Suite 115, Berwyn, PA 19312

Mailing Address

Phone number

(484) 320-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/11/2025)

Regulatory assets under management

Total Number of Accounts	823
AUM (Assets Under Management)	$ 916,741,818

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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Jonathan D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan D Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELLIS INVESTMENT PARTNERS, LLC

APW CAPITAL, INC.

CMS WEALTH MANAGEMENT

EQUITY SERVICES, INC.

Primary Firm SEC Registration

ELLIS INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2004

Series 7

Date: 10/4/2004

Current Firm

ELLIS INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLIS INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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