AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

John F. Smitka

PENGUIN GLOBAL WEALTH MANAGEMENT LLC
Wellesley, MA
Some features on this profile are disabled
CRD#: 4925754
JS

Professional summary

John Francis Smitka JR, who also goes by John Smitka, is a registered financial advisor currently at PENGUIN GLOBAL WEALTH MANAGEMENT LLC located in Wellesley, Massachusetts and SIGNAL RIDGE CAPITAL PARTNERS, LLC located in Framingham, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. John has worked at 5 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

John Smitka

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.
CROTCHED MOUNTAIN FOUNDATION: GREENFIELD, NH: START DATE: 2010: MEMBER OF INVESTMENT COMMITTEE: 5013C3 SPECIAL NEEDS EDUCATIONAL FACILITY: 5 NON-TRADING HOURS PER MONTH: PARTICIPATE IN INVESTMENT MANAGEMENT DECISIONS ON BEHALF OF THE FOUNDATION'S ENDOWMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Francis Smitka 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®
None

Experience

Current

April 30, 2008 - Present

PENGUIN GLOBAL WEALTH MANAGEMENT LLC

RIA
CRD#: 143802
Wellesley, MA
Current

June 11, 2013 - Present

SIGNAL RIDGE CAPITAL PARTNERS, LLC

Office #1: 434 Old Connecticut Path Suite 3a, Framingham, MA 01701
RIA
CRD#: 167576
Framingham, MA
Past

February 26, 2008 - July 11, 2019

TIEDEMANN & ASSOCIATES INVESTMENT ADVISORS, INC.

RIA
CRD#: 128873
WESTON, MA
Past

May 8, 2006 - May 14, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
CAMBRIDGE, MA
Past

May 5, 2006 - May 14, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
CAMBRIDGE, MA
Past

May 11, 2005 - April 26, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Massachusetts
(4/30/2008)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2005
General Securities Representative Examination

Current Firm

SR
SIGNAL RIDGE CAPITAL PARTNERS, LLC
SIGNAL RIDGE CAPITAL PARTNERS, LLC

CRD#: 167576 / SEC#: 801-134889

Massachusetts
Registered Investment Advisory firm - (6/11/2013 Approved)
New York
Registered Investment Advisory firm - (6/6/2014 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
434 Old Connecticut Path Suite 3a, Framingham, MA 01701
Mailing Address
Phone number
(617) 607-3222
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SRCP ADV PART2A WRAP FEE BROCHURE (11/4/2025)
SRCP ADV PART 2A 2B BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts94
AUM (Assets Under Management)$ 110,618,027

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.

Company Information

SIGNAL RIDGE CAPITAL PARTNERS, LLC

CRD#: 167576Wellesley, MA

TRUST BUT VERIFY

Monitor John Smitka

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.