Eric Bernum

SMITH CAPITAL INVESTORS

Denver, CO 80202-1316

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CRD#: 4897273

Professional summary

Eric Bernum, who also goes by Eric Christopher Bernum, is a registered financial advisor currently at SMITH CAPITAL INVESTORS, LLC located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Eric has worked at 3 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Christopher Bernum

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.

SMITH CAPITAL INVESTORS, INVESTMENT RELATED, 1430 BLAKE STREET DENVER, CO 80202, INVESTMENT MANGEMENT, INVESTOR, 05/21/2018, 240 HRS/MON 160 HRS/MON DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Bernum'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®

None

Experience

Current

June 21, 2018 - Present

SMITH CAPITAL INVESTORS, LLC

Office #1: 1430 Blake Street, Denver, CO 80202-1316

RIA

CRD#: 294402

Denver, CO

Current

May 22, 2018 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1430 Blake Street, Denver, CO 80202

CRD#: 16853

Denver, CO

Past

October 19, 2005 - March 24, 2017

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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".

SMITH CAPITAL INVESTORS, LLC

CRD#: 294402 / SEC#: 801-113172

RIA

Registered Investment Advisory firm - (5/17/2018 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.

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

Colorado
(5/22/2018)

IAR

Colorado
(6/21/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SMITH CAPITAL INVESTORS, LLC

CRD#: 294402 / SEC#: 801-113172

RIA

Registered Investment Advisory firm - (5/17/2018 Approved)

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Contact information

Main Address

1430 Blake Street, Denver, CO 80202-1316

Mailing Address

Phone number

(303) 597-5555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 12,449,307,906

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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Eric Bernum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Bernum's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH CAPITAL INVESTORS, LLC

ALPS DISTRIBUTORS, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

SMITH CAPITAL INVESTORS, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 10/18/2005

FINRA

Current Firm

SMITH CAPITAL INVESTORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SMITH CAPITAL INVESTORS, LLC

TRUST BUT VERIFY

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