Stephen M. Smith

NAVIGATE PRIVATE WEALTH

Draper, UT 84020

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CRD#: 6802883

Professional summary

Stephen Michael Smith is a registered financial advisor currently at NAVIGATE PRIVATE WEALTH, LLC located in Draper, Utah.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Stephen has worked at 2 firms and has passed the Series 66, 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.

Ollin Ventures; IR; 78 S. Serrata, Vineyard, UT 84059; General Partner; Start: 08/01/2022; Number of hours/month: 30 hours; Create marketing content, event planning, investor relations, and preparing investor reports and documents.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael 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®

None

Experience

Current

May 4, 2018 - Present

NAVIGATE PRIVATE WEALTH, LLC

Office #1: 12012 South 700 East Suite 100, Draper, UT 84020

RIA

CRD#: 170774

Draper, UT

Past

October 27, 2017 - May 3, 2018

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

October 11, 2017 - May 3, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

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".

NAVIGATE PRIVATE WEALTH, LLC

NAVIGATE PRIVATE WEALTH, LLC | NPW

CRD#: 170774 / SEC#: 801-79648

RIA

Registered Investment Advisory firm - (5/2/2014 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

Utah
(5/4/2018)

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: 10/27/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/11/2017

General Securities Representative Examination

Current Firm

NAVIGATE PRIVATE WEALTH, LLC

NAVIGATE PRIVATE WEALTH, LLC | NPW

CRD#: 170774 / SEC#: 801-79648

RIA

Registered Investment Advisory firm - (5/2/2014 Approved)

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Contact information

Main Address

12012 South 700 East Suite 100, Draper, UT 84020

Mailing Address

Phone number

(801) 676-4588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/10/2025)

Regulatory assets under management

Total Number of Accounts	1,804
AUM (Assets Under Management)	$ 462,565,254

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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Stephen M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVIGATE PRIVATE WEALTH, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

NAVIGATE PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2017

SIE

Date: 5/3/2018

Series 7

Date: 10/11/2017

Current Firm

NAVIGATE PRIVATE WEALTH, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAVIGATE PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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