Jeffrey S. Smith

COMPASS FINANCIAL

Prosperity, SC

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CRD#: 4920956

Professional summary

Jeffrey Scott Smith, who also goes by Jeffrey Smith, Scott Smith, is a registered financial advisor currently at COMPASS FINANCIAL, LLC located in Prosperity, South Carolina.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey Smith | Scott 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.

Mr. Smith is licensed and registered as an insurance agent to sell life, health and variable insurance products for various insurance companies. He spends approximately 1% of his time on insurance related business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Scott 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®

None

Experience

Current

January 28, 2011 - Present

COMPASS FINANCIAL, LLC

RIA

CRD#: 152558

Prosperity, SC

Past

February 18, 2010 - December 31, 2010

COMPASS FINANCIAL, LLC

RIA

CRD#: 152558

ESCONDIDO, CA

Past

March 2, 2006 - October 28, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ESCONDIDO, CA

Past

February 27, 2006 - October 28, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ESCONDIDO, CA

Past

January 10, 2006 - February 24, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ESCONDIDO, CA

Past

April 25, 2005 - February 24, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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
(1/28/2011)

IAR

Nevada
(7/17/2024)

IAR

South Carolina
(11/20/2023)

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 65

Date: 12/19/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/13/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS FINANCIAL, LLC

COMPASS FINANCIAL, LLC | SMITH & COMPANY, INC. | SEQUOIA CAPITAL MANAGEMENT

CRD#: 152558 / SEC#:

California

Registered Investment Advisory firm - (2/17/2010 Approved)

Nevada

Registered Investment Advisory firm - (7/17/2024 Approved)

North Carolina

Registered Investment Advisory firm - (10/24/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (11/20/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Prosperity, SC

Mailing Address

Phone number

(803) 303-8891

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 9,674,203

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

Jeffrey S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Scott Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS FINANCIAL, LLC

COMPASS FINANCIAL, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2005

Series 63

Date: 5/13/2005

Series 7

Date: 10/25/2005

Series 6

Date: 4/22/2005

Current Firm

COMPASS FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL, LLC

TRUST BUT VERIFY

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