Travis B. Smith

DELTA INVESTMENT MANAGEMENT

Greenville, SC 29601

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CRD#: 5221821

Professional summary

Travis Blue Smith is a registered financial advisor currently at DELTA INVESTMENT MANAGEMENT, LLC located in Greenville, South Carolina.

Travis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Travis has worked at 9 firms and has passed the Series 66 and Series 7 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.

Northstar Financial and Retirement Planning, LLC Investment Related 113 Whitsett Street, Greenville, SC 29601 Provide comprehensive financial planning services via insurance and investment advisory recommendations Investment Advisor Representative Start Date 04/2022 160 Hours/month devoted 100 hours devoted during securities trading hours Participate in advising comprehensive retirement planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis Blue Smith'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

May 17, 2022 - Present

DELTA INVESTMENT MANAGEMENT, LLC

Office #1: 113 Whitsett Street, Greenville, SC 29601

RIA

CRD#: 149596

Greenville, SC

Past

February 24, 2017 - February 7, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Greenville, SC

Past

May 31, 2016 - February 21, 2017

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Greenville, SC

Past

January 7, 2010 - November 12, 2010

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

GREER, SC

Past

January 4, 2010 - November 12, 2010

J.W. COLE FINANCIAL, INC.

CRD#: 124583

GREER, SC

Past

October 13, 2008 - August 20, 2009

OSAIC FS, INC.

RIA

CRD#: 3870

GREENVILLE, SC

Past

May 5, 2008 - August 20, 2009

OSAIC FS, INC.

CRD#: 3870

GREENVILLE, SC

Past

April 11, 2008 - June 3, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

GREENVILLE, SC

Past

January 1, 2008 - April 14, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GREENVILLE, SC

Past

January 1, 2008 - April 14, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GREENVILLE, SC

Past

November 27, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

GREENVILLE, SC

Past

November 13, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

GREENVILLE, SC

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".

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 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).

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

South Carolina
(5/17/2022)

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 66

Date: 11/24/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/10/2006

General Securities Representative Examination

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

CRD#: 149596 / SEC#: 801-114006

RIA

Registered Investment Advisory firm - (9/19/2018 Approved)

California

Registered Investment Advisory firm - (11/13/2018 Terminated)

Colorado

Registered Investment Advisory firm - (10/26/2018 Terminated)

Illinois

Registered Investment Advisory firm - (9/19/2018 Terminated)

Nevada

Registered Investment Advisory firm - (11/29/2018 Terminated)

Texas

Registered Investment Advisory firm - (10/14/2018 Terminated)

Washington

Registered Investment Advisory firm - (10/21/2018 Terminated)

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Contact information

Main Address

708 Montgomery Street, San Francisco, CA 94111

Mailing Address

204 E. 2nd Avenue, #906, San Mateo, CA 94401

Phone number

(415) 249-6337

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (6/13/2025)

BROCHURE SUPPLEMENT - ANDREW HOUGHTON (6/13/2025)

BROCHURE SUPPLEMENT - NICHOLAS ATKESON (6/13/2025)

Regulatory assets under management

Total Number of Accounts	2,625
AUM (Assets Under Management)	$ 770,787,222

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

Travis B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis Blue Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

OSAIC FS, INC.

OSAIC FS, INC.

AVANTAX INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

DELTA INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2006

Series 7

Date: 11/10/2006

Current Firm

DELTA INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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