Cory N. Smith

INDY WEALTH SOLUTIONS

Indianapolis, IN

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CRD#: 5695089

Professional summary

Cory Nicholas Smith is a registered financial advisor currently at INDY WEALTH SOLUTIONS, LLC located in Indianapolis, Indiana.

Cory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Cory has worked at 4 firms and has passed the Series 66, Series 63, SIE 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.

Cory N. Smith is licensed to sell life insurance products and may engage in product sales with our clients, for which he will receive additional compensation. Any commissions received through life or health insurances sales do not offset advisory fees the client may pay for advisory services under Indy Wealth Solutions, LLC. This activity accounts for less than 10% of his time. Started 3/16/2016 at 6210 N Parker Ave, Indianapolis, IN 46220. Approximately 4 hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Nicholas 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

January 24, 2019 - Present

INDY WEALTH SOLUTIONS, LLC

RIA

CRD#: 283634

Indianapolis, IN

Past

April 29, 2016 - December 31, 2018

INDY WEALTH SOLUTIONS, LLC

RIA

CRD#: 283634

INDIANAPOLIS, IN

Past

January 5, 2015 - March 4, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

GREENWOOD, IN

Past

January 5, 2015 - March 4, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

GREENWOOD, IN

Past

January 3, 2012 - January 14, 2015

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

INDIANAPOLIS, IN

Past

September 12, 2011 - December 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

INDIANAPOLIS, IN

Past

December 18, 2009 - January 14, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

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

California
(3/27/2023)

IAR

Indiana
(1/24/2019)

IAR

Texas
(4/1/2021)

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: 9/9/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2009

General Securities Representative Examination

Current Firm

INDY WEALTH SOLUTIONS, LLC

CRD#: 283634 / SEC#:

California

Registered Investment Advisory firm - (3/27/2023 Approved)

Indiana

Registered Investment Advisory firm - (1/24/2019 Approved)

Texas

Registered Investment Advisory firm - (4/1/2021 Conditional Restricted)

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Contact information

Main Address

Indianapolis, IN

Mailing Address

Phone number

(260) 312-5413

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 3,798,959

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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Firm Stability Insights

Cory N. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Nicholas Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDY WEALTH SOLUTIONS, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2011

Series 63

Date: 10/2/2009

SIE

Date: 3/4/2016

Series 7

Date: 12/17/2009

Current Firm

INDY WEALTH SOLUTIONS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INDY WEALTH SOLUTIONS, LLC

TRUST BUT VERIFY

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