JS
John V. Smith
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CRD#: 5764683
JS
Professional summary
John Victor Smith was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John Victor Smith, who also goes by John Smith, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2010. John had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Smith
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
July 29, 2015 - July 21, 2016
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
NEW YORK, NY
Past
May 13, 2014 - December 16, 2016
LEGEND FINANCIAL MANAGEMENT
RIA
CRD#: 120978
NEW YORK, NY
Past
January 28, 2014 - December 7, 2016
LEGEND SECURITIES, INC.
BD
CRD#: 44952
NEW YORK, NY
Past
March 25, 2011 - February 4, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 24, 2010 - October 7, 2010
THINKEQUITY LLC
BD
CRD#: 20996
NEW YORK, NY
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".
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CLARAPHI ADVISORY NETWORK, LLC
ADVISORS ON CALL | WINKLER WEALTH | ULTRA FINANCIAL PLUS, LLC DBA ULTRA FINANCIAL PARTNERS, LLC | THOMAS ADVISORY SERVICES, INC. | SEELAN WEALTH STRATEGIES, LLC | SEELAN WEALTH STRATEGIES, ADVANCED TAX CONSULTING, LLC | RJF, INC. | MDR HOLDINGS, LLC | LIFE PLAN RETIREMENT PARTNERS, LLC | LEGACY WEALTH PARTNERS, LEGACY RETIREMENT GROUP | HERITAGE FINANCIAL SERVICES | HACKETT ADVISORY | H. L. DINGLE & COMPANY | GOSS & COMPANY | GLOBAL WEALTH MANAGEMENT | GF THOMAS ADVISORY GROUP | GENTRY WEALTH MANAGEMENT | FORTIFIED FUTURES, INC | FINANCIAL ARCHITECTS, INC., TAX ARTISTS | FINANCIAL & INSURANCE SERVICES | ERBC, INC. | DENIS WONG & ASSOCIATES | CLARAPHI ADVISORY NETWORK, LLC | CHADWICK FINANCIAL ADVISORS | BOWEN FINANCIAL GROUP | ANDALUS CAPITAL
CRD#: 165868 / SEC#: 801-80575
RIA
Registered Investment Advisory firm - (12/4/2014 Approved)Arizona
Registered Investment Advisory firm - (12/8/2014 Terminated)California
Registered Investment Advisory firm - (1/7/2015 Terminated)Florida
Registered Investment Advisory firm - (12/8/2014 Terminated)Idaho
Registered Investment Advisory firm - (12/31/2014 Terminated)Missouri
Registered Investment Advisory firm - (12/8/2014 Terminated)New Jersey
Registered Investment Advisory firm - (12/11/2014 Terminated)New York
Registered Investment Advisory firm - (12/8/2014 Terminated)Tennessee
Registered Investment Advisory firm - (11/6/2014 Terminated)Texas
Registered Investment Advisory firm - (12/8/2014 Terminated)Washington
Registered Investment Advisory firm - (12/9/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Drive Suite 585, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 215-0025
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,422 |
| AUM (Assets Under Management) | $ 382,500,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2022 |
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.
