Ella J. Smith

BOLTON INVESTMENT

Blue Bell, PA 19422

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CRD#: 5001517

Professional summary

Ella J Smith is a registered financial advisor currently at BOLTON INVESTMENT located in Blue Bell, Pennsylvania.

Ella is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Ella has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ella J 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

May 16, 2024 - Present

BOLTON INVESTMENT

Office #1: 960 B Harvest Drive Suite 220b, Blue Bell, PA 19422

RIA

CRD#: 104684

Blue Bell, PA

Past

April 29, 2019 - April 8, 2024

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

July 5, 2017 - March 12, 2019

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

November 6, 2015 - June 20, 2017

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 15, 2005 - October 16, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, 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".

BOLTON INVESTMENT

CRD#: 104684 / SEC#: 801-46685

RIA

Registered Investment Advisory firm - (7/6/1994 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
(5/16/2024)

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: 5/16/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BOLTON INVESTMENT

CRD#: 104684 / SEC#: 801-46685

RIA

Registered Investment Advisory firm - (7/6/1994 Approved)

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Contact information

Main Address

1 W. Pennsylvania Ave. Suite 600, Towson, MD 21204

Mailing Address

Phone number

(410) 547-0500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

BOLTON PARTNERS FORM ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 138,533,476

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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Advisor Monitoring

Firm Stability Insights

Ella J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ella J Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FA, INC.

JOHN HANCOCK DISTRIBUTORS LLC

EMPOWER FINANCIAL SERVICES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

BOLTON INVESTMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2024

Series 63

Date: 8/10/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/11/2007

Series 6

Date: 9/14/2005

Current Firm

BOLTON INVESTMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOLTON INVESTMENT

TRUST BUT VERIFY

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