John B. Smith

NORTHSTAR INVESTMENT ADVISORY LLC

Phoenix, AZ

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CRD#: 6366511

Professional summary

John Brian Smith, CFP® is a registered financial advisor currently at NORTHSTAR INVESTMENT ADVISORY LLC located in Phoenix, Arizona.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. John has worked at 3 firms and has passed the Series 65, Series 7TO, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Brian 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®

CFP^®

Certified Financial Planner

Experience

Current

September 15, 2022 - Present

NORTHSTAR INVESTMENT ADVISORY LLC

RIA

CRD#: 315965

Phoenix, AZ

Past

August 30, 2018 - December 31, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Milwaukee, WI

Past

August 14, 2018 - December 31, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Milwaukee, WI

Past

January 21, 2015 - June 11, 2018

LEARNVEST PLANNING SERVICES, LLC

RIA

CRD#: 162453

SCOTTSDALE, AZ

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".

NORTHSTAR INVESTMENT ADVISORY LLC

CRD#: 315965 / SEC#: 801-122824

RIA

Registered Investment Advisory firm - (12/7/2021 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/12/2022)

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 65

Date: 9/16/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/15/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2018

General Securities Representative Examination

Current Firm

NORTHSTAR INVESTMENT ADVISORY LLC

CRD#: 315965 / SEC#: 801-122824

RIA

Registered Investment Advisory firm - (12/7/2021 Approved)

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Contact information

Main Address

8605 Santa Monica Blvd Pmb 65044, West Hollywood, CA 90069

Mailing Address

Phone number

(310) 896-8197

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHSTAR ADV PART 2A OCTOBER 24, 2025 (10/24/2025)

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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John B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Brian Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

LEARNVEST PLANNING SERVICES, LLC

Primary Firm SEC Registration

NORTHSTAR INVESTMENT ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/2014

Series 7TO

Date: 4/15/2024

SIE

Date: 10/1/2018

Series 7

Date: 8/30/2018

Current Firm

NORTHSTAR INVESTMENT ADVISORY LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

NORTHSTAR INVESTMENT ADVISORY LLC

TRUST BUT VERIFY

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