Connor P. Smith

JUNCTURE WEALTH STRATEGIES

Scottsdale, AZ 85258

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CRD#: 6539351

Professional summary

Connor Pierce Smith, CFP®, who also goes by Connor Smith, is a registered financial advisor currently at JUNCTURE WEALTH STRATEGIES, LLC located in Scottsdale, Arizona.

Connor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Connor has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Connor 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connor Pierce 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

Start date: 2017

Experience

Current

September 14, 2018 - Present

JUNCTURE WEALTH STRATEGIES, LLC

Office #1: 8777 E. Via De Ventura Suite 120, Scottsdale, AZ 85258

RIA

CRD#: 298110

Scottsdale, AZ

Past

June 28, 2017 - November 16, 2018

JUNCTURE WEALTH STRATEGIES, LLC

RIA

CRD#: 287908

Lancaster, OH

Past

June 28, 2017 - December 14, 2018

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 287909

Lancaster, OH

Past

January 7, 2016 - June 12, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

GLEN ALLEN, VA

Past

November 5, 2015 - June 12, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GLEN ALLEN, VA

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".

JUNCTURE WEALTH STRATEGIES, LLC

CRD#: 298110 / SEC#: 801-113927

RIA

Registered Investment Advisory firm - (9/14/2018 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
(10/22/2018)

IAR

Ohio
(9/14/2018)

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 66

Date: 12/11/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/2015

General Securities Representative Examination

Current Firm

JUNCTURE WEALTH STRATEGIES, LLC

CRD#: 298110 / SEC#: 801-113927

RIA

Registered Investment Advisory firm - (9/14/2018 Approved)

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Contact information

Main Address

8777 E. Via De Ventura Suite 120, Scottsdale, AZ 85258

Mailing Address

Phone number

(480) 253-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JWS ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,049
AUM (Assets Under Management)	$ 409,617,995

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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Advisor Monitoring

Firm Stability Insights

Connor P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Connor Pierce Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

JUNCTURE WEALTH STRATEGIES, LLC

HERITAGE WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

JUNCTURE WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2015

SIE

Date: 6/12/2017

Series 7

Date: 11/5/2015

Current Firm

JUNCTURE WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JUNCTURE WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

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