SS
Shawn M. Smith
COLLABORATIVE WEALTH
Sanford, FL
Some features on this profile are disabled
CRD#: 6183746
SS
Professional summary
Shawn Matthew Smith, who also goes by Shawn Smith, is a registered financial advisor currently at COLLABORATIVE WEALTH located in Sanford, Florida and LPL FINANCIAL LLC located in Sanford, Florida.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Shawn has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn 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. 9/23/2019 - Collaborative Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 12/11/2019 - Collaborative Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - ADMIN. - Started 09/08/2006 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Collaborative Wealth, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/20/2021 - SMS Wealth Advisors LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/04/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 4. 1/27/2020 - Licensed insurance agent - Not Investment Related - At Reported Business Location(s) - 20 Hours Per Month/20 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Matthew 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®
NoneExperience
Current
February 19, 2020 - Present
COLLABORATIVE WEALTH
RIA
CRD#: 142106
Sanford, FL
Current
September 23, 2019 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
SANFORD, FL
Past
December 5, 2016 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN DIEGO, CA
Past
March 10, 2014 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN DIEGO, 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".
CW
COLLABORATIVE WEALTH
COLLABORATIVE WEALTH | GARRISON WEALTH MANAGEMENT | FALCON FINANCIAL MANAGEMENT | COLLABORATIVEWEALTH TREASURE COAST | COLLABORATIVEWEALTH LAKE NONA | COLLABORATIVEWEALTH GAINESVILLE | COLLABORATIVE WEALTH MANAGEMENT, INC.
CRD#: 142106 / SEC#: 801-80100
RIA
Registered Investment Advisory firm - (8/6/2014 Approved)Indiana
Registered Investment Advisory firm - (12/23/2008 Terminated)Texas
Registered Investment Advisory firm - (8/7/2014 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
RR
Alabama(1/14/2021)
RR
California(1/14/2021)
RR
Colorado(1/14/2021)
RR
Connecticut(1/14/2021)
RR
Florida(9/23/2019)
IAR
Florida(2/19/2020)
RR
Georgia(5/25/2022)
RR
Hawaii(2/8/2022)
RR
Iowa(3/8/2021)
RR
Kentucky(3/6/2023)
RR
New Jersey(1/14/2021)
RR
New York(1/14/2021)
RR
North Carolina(2/9/2021)
RR
Ohio(10/5/2022)
RR
South Carolina(5/25/2022)
RR
Tennessee(1/14/2021)
RR
Vermont(11/6/2025)
RR
Virginia(1/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
COLLABORATIVE WEALTH
COLLABORATIVE WEALTH | GARRISON WEALTH MANAGEMENT | FALCON FINANCIAL MANAGEMENT | COLLABORATIVEWEALTH TREASURE COAST | COLLABORATIVEWEALTH LAKE NONA | COLLABORATIVEWEALTH GAINESVILLE | COLLABORATIVE WEALTH MANAGEMENT, INC.
CRD#: 142106 / SEC#: 801-80100
RIA
Registered Investment Advisory firm - (8/6/2014 Approved)Indiana
Registered Investment Advisory firm - (12/23/2008 Terminated)Texas
Registered Investment Advisory firm - (8/7/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
972 International Parkway, Lake Mary, FL 32746
Mailing Address
Phone number
(407) 792-3336
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,810 |
| AUM (Assets Under Management) | $ 564,031,327 |
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.
