Zachary C. Smith
SAGEVIEW ADVISORY GROUP
Newport Beach, CA 92660
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CRD#: 6126796
Professional summary
Zachary Craig Smith, CFP®, who also goes by Zack Craig Smith, Zachary C Smith, Zachary Smith, Zack Smith, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Zachary has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Zack Craig Smith | Zachary C Smith | Zachary Smith | Zack 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.
1.NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE
START DATE: 9/2018
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: ADVISORY REPRESENTATIVE DUTIES
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 10/2018
APX NUMBER OF HOURS PER WEEK: 1
APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE
3. NAME OF OTHER BUSINESS: STUDY TECH
INVESTMENT RELATED: NO
ADDRESS: 3100 TRINITY DRIVE, COSTA MESA, CA 92626
NATURE OF BUSINESS: SOLE PROPRIETORSHIP DBA WITH ORANGE COUNTY, NEVER DID ANYTHING WITH. BRAND PREVIOUSLY CREATED PRODUCTS AND SELL THEM ON VARIOUS WEBSITES.
START DATE: 10/2018
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: MINIMAL
APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL
BRIEF DESCRIPTION OF DUTIES: BUY VARIOUS PRODUCTS, BRAND THEM, AND SELL THEM ON RETAIL WEBSITES.
4. NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: INDEPENDENT REGISTERED INVESTMENT ADVISOR. PROVIDE RETIREMENT PLANS AND WEALTH MANAGEMENT CONSULTING SERVICES TO CLIENTS THROUGHOUT THE US
START DATE: 10/2018
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: WILL WORK ON THE PARTICIPANT HELP DESK WHERE PARTICIPANTS OF 401(K) PLANS CALL IN AND ASK GENERAL RETIREMENT/ASSET ALLOCATION QUESTIONS
CRS (Client Relationship Summary) - RIA
Click below to view Zachary Craig 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®
CFP®
Start date: 2016
Experience
Current
October 30, 2018 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660RIA
CRD#: 126777
Newport Beach, CA
Current
November 8, 2018 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4000 Mac Arthur Blvd, Suite 1050, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
December 18, 2015 - October 12, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
HUNTINGTON BCH, CA
Past
December 18, 2015 - October 12, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HUNTINGTON BCH, CA
Past
September 2, 2014 - September 30, 2015
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
IRVINE, CA
Past
November 28, 2012 - September 30, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
IRVINE, CA
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 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
IAR
California(10/30/2018)
RR
California(11/8/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
