CS
Craig M. Small
SYMPHONY FINANCIAL SERVICES
Akron, OH 44333
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CRD#: 5338171
CS
Professional summary
Craig Michael Small, who also goes by Craig M Small, Craig Michael Small, Cfa, is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Craig has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig M Small | Craig Michael Small, Cfa
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.
1. 6/13/2008 - SYMPHONY FINANCIAL SERVICES, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 10/8/2019 - Symphony Financial Services, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - VP and Analyst - Started 10/01/2019 - 160 Hours Per Month During Securities Trading - for RIA - I provide investment advisory services through Symphony Financial Services, Inc., an independent investment advisor firm. I started this business activity in 10/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 6/29/2020 - Kim and Associates - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Started 05/28/2020 - 15 Hours Per Month During Securities Trading - Management of Kim and Associates office employees. 4. 10/29/2021 - PBOC National LLC - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Start Date: 07/19/2021 - 1 Hour Per Month/1 Hour During Securities Trading - Help with website maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Michael Small'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®
NoneExperience
Current
February 19, 2009 - Present
SYMPHONY FINANCIAL SERVICES, INC.
Office #1: 4100 Embassy Parkway Suite 100, Akron, OH 44333RIA
CRD#: 125058
Akron, OH
Current
August 14, 2008 - Present
LPL FINANCIAL LLC
Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783RIA
BD
CRD#: 6413
Akron, OH
Past
March 23, 2011 - November 16, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, 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".
SF
SYMPHONY FINANCIAL SERVICES, INC.
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058 / SEC#: 801-63300
RIA
Registered Investment Advisory firm - (6/24/2004 Approved)Ohio
Registered Investment Advisory firm - (3/17/2010 Terminated)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.RR
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
RR
Arizona(6/28/2011)
RR
California(6/28/2011)
RR
District of Columbia(3/15/2011)
RR
Florida(3/15/2011)
RR
Georgia(6/28/2011)
RR
Illinois(6/28/2011)
RR
Indiana(6/28/2011)
RR
Kentucky(6/28/2011)
RR
Maryland(3/15/2011)
RR
Michigan(6/28/2011)
RR
New York(6/28/2011)
RR
North Carolina(6/28/2011)
RR
Ohio(8/14/2008)
IAR
Ohio(2/19/2009)
RR
Oregon(6/28/2011)
RR
Pennsylvania(6/28/2011)
RR
South Carolina(6/28/2011)
RR
Texas(6/28/2011)
RR
Virginia(6/28/2011)
RR
Washington(6/28/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYMPHONY FINANCIAL SERVICES, INC.
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058 / SEC#: 801-63300
RIA
Registered Investment Advisory firm - (6/24/2004 Approved)Ohio
Registered Investment Advisory firm - (3/17/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4100 Embassy Parkway Suite 100, Akron, OH 44333
Mailing Address
Phone number
(330) 434-2000
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,254 |
| AUM (Assets Under Management) | $ 376,086,940 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SYMPHONY FINANCIAL SERVICES, INC.
CRD#: 125058Akron, OH 44333TRUST BUT VERIFY
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