Alicia C. Arciniega

SMART INVESTMENTS ADVISORY

Redlands, CA 92373-3127

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CRD#: 4942070

Professional summary

Alicia Christine Arciniega, who also goes by Alicia Christine Adams, Ali Arciniega, is a registered financial advisor currently at SMART INVESTMENTS ADVISORY INCORPORATED located in Redlands, California and LPL FINANCIAL LLC located in Redlands, California.

Alicia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Alicia has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alicia Christine Adams | Ali Arciniega

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.

Smart Investments Advisory Incorporated; Investment-Related; Registered Investment Advisor (RIA); Investment Adviser Representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alicia Christine Arciniega'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

November 29, 2011 - Present

SMART INVESTMENTS ADVISORY INCORPORATED

Office #1: 1849 W. Redlands Blvd. Suite 104, Redlands, CA 92373-3127

RIA

CRD#: 107778

Redlands, CA

Current

June 5, 2025 - Present

LPL FINANCIAL LLC

Office #1: 1849 W. Redlands Blvd. Ste. 104, Redlands, CA 92373

RIA

CRD#: 6413

REDLANDS, CA

Past

June 3, 2020 - June 9, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Redlands, CA

Past

June 3, 2020 - June 5, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Redlands, CA

Past

October 16, 2008 - June 3, 2020

WBB SECURITIES, LLC

CRD#: 118440

REDLANDS, CA

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

Arizona
(6/5/2025)

Arkansas
(8/7/2025)

IAR

California
(11/29/2011)

California
(6/5/2025)

Maryland
(6/5/2025)

Nevada
(6/5/2025)

North Carolina
(6/5/2025)

Oregon
(6/5/2025)

Washington
(6/5/2025)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 12/8/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SMART INVESTMENTS ADVISORY INCORPORATED

CONSTELLATION ADVISORS | SMART INVESTMENTS ADVISORY INCORPORATED | SMART INVESTMENTS | SEIDLER INVESTMENT ADVISORS INCORPORATED | CONSTELLATION ADVISROS

CRD#: 107778 / SEC#: 801-63265

RIA

Registered Investment Advisory firm - (12/12/2007 Terminated)

California

Registered Investment Advisory firm - (12/4/2007 Approved)

Oregon

Registered Investment Advisory firm - (8/24/2004 Terminated)

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

1849 W. Redlands Blvd. Suite 104, Redlands, CA 92373-3127

Mailing Address

Phone number

(909) 335-8565

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	210
AUM (Assets Under Management)	$ 82,000,000

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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Alicia C. Arciniega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alicia Christine Arciniega's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMART INVESTMENTS ADVISORY INCORPORATED

LPL FINANCIAL LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

WBB SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2008

FINRA

Current Firm

SMART INVESTMENTS ADVISORY INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SMART INVESTMENTS ADVISORY INCORPORATED

TRUST BUT VERIFY

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