Caleb L. Smith

NEW WAVE WEALTH ADVISORS

Springdale, AR 72764

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CRD#: 5728866

Professional summary

Caleb Levi Smith is a registered financial advisor currently at NEW WAVE WEALTH ADVISORS located in Springdale, Arkansas and DMK ADVISOR GROUP, INC. located in Lutz, Florida.

Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Caleb has worked at 3 firms and has passed the Series 66, Series 6TO, 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.

1) DMK Advisor Group; Registered Rep; Lutz, FL; 6/2024; 5% of time during trading hours; sell of securities;investment related. 2)Shamrock is my LLC. New Wave is an RIA so I'm an independent contractor basically. 100% ownership, all hours are devoted to Shamrock. Shamrock/myself owns my advisory business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb Levi 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

April 7, 2024 - Present

NEW WAVE WEALTH ADVISORS

Office #1: 4403 S Thompson St, Ste 1, Springdale, AR 72764

RIA

CRD#: 323414

Springdale, AR

Current

June 2, 2024 - Present

DMK ADVISOR GROUP, INC.

Office #1: 17961 Hunting Bow Circle Suite 102, Lutz, FL 33558

RIA

CRD#: 41067

Lutz, FL

Past

October 18, 2011 - April 25, 2024

ARVEST WEALTH MANAGEMENT

RIA

CRD#: 42057

SPRINGDALE, AR

Past

August 25, 2011 - April 25, 2024

ARVEST WEALTH MANAGEMENT

CRD#: 42057

SPRINGDALE, AR

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".

NEW WAVE WEALTH ADVISORS

NEW WAVE WEALTH ADVISORS | NEW WEALTH ADVISORS | NEW WAVE WEALTH ADVISORS LLC

CRD#: 323414 / SEC#: 801-126788

RIA

Registered Investment Advisory firm - (10/25/2022 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.

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

IAR

Arkansas
(4/7/2024)

Arkansas
(6/18/2024)

IAR

Missouri
(4/7/2024)

Pennsylvania
(6/2/2024)

IAR

Texas
(4/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/17/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/3/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NEW WAVE WEALTH ADVISORS

NEW WAVE WEALTH ADVISORS | NEW WEALTH ADVISORS | NEW WAVE WEALTH ADVISORS LLC

CRD#: 323414 / SEC#: 801-126788

RIA

Registered Investment Advisory firm - (10/25/2022 Approved)

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Contact information

Main Address

4403 S Thompson St, Ste 1, Springdale, AR 72764

Mailing Address

Phone number

(479) 877-2525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEW WAVE WEALTH ADVISORS PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,253
AUM (Assets Under Management)	$ 315,005,818

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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Caleb L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caleb Levi Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

DMK ADVISOR GROUP, INC.

ARVEST WEALTH MANAGEMENT

ARVEST WEALTH MANAGEMENT

Primary Firm SEC Registration

NEW WAVE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2011

Series 6TO

Date: 6/3/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2011

FINRA

Current Firm

NEW WAVE WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW WAVE WEALTH ADVISORS

TRUST BUT VERIFY

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