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MS

Martin N. Smith

ONEASCENT FAMILY OFFICES
Birmingham, AL 35242
Some features on this profile are disabled
CRD#: 5694652
MS

Professional summary

Martin Nicole Smith, who also goes by Martin Nicole Harvey, is a registered financial advisor currently at ONEASCENT FAMILY OFFICES located in Birmingham, Alabama and ONEASCENT WEALTH MANAGEMENT located in Birmingham, Alabama.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Martin has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Martin Nicole Harvey

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 Martin Nicole 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

February 15, 2024 - Present

ONEASCENT FAMILY OFFICES

Office #1: 23 Inverness Center Parkway, Birmingham, AL 35242
RIA
CRD#: 323305
Birmingham, AL
Current

February 15, 2024 - Present

ONEASCENT WEALTH MANAGEMENT

Office #1: 23 Inverness Center Parkway, Birmingham, AL 35242
RIA
CRD#: 308057
Birmingham, AL
Past

July 7, 2022 - February 9, 2024

STRAUSS FINANCIAL GROUP

RIA
CRD#: 310512
HOOVER, AL
Past

May 25, 2022 - June 22, 2022

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
BIRMINGHAM, AL

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".
OW
ONEASCENT WEALTH MANAGEMENT
ONEASCENT WEALTH MANAGEMENT | SOVEREIGN FAMILY OFFICE | ONEASCENT WEALTH MANAGEMENT LLC

CRD#: 308057 / SEC#: 801-118682

RIA
Registered Investment Advisory firm - (5/11/2020 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
Alabama
(2/15/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/3/2022
Uniform Investment Adviser Law Examination

Current Firm

OW
ONEASCENT WEALTH MANAGEMENT
ONEASCENT WEALTH MANAGEMENT | SOVEREIGN FAMILY OFFICE | ONEASCENT WEALTH MANAGEMENT LLC

CRD#: 308057 / SEC#: 801-118682

RIA
Registered Investment Advisory firm - (5/11/2020 Approved)
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Contact information

Main Address
23 Inverness Center Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OAWM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts2,138
AUM (Assets Under Management)$ 431,684,302

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

ONEASCENT WEALTH MANAGEMENT

CRD#: 308057Birmingham, AL 35242

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