Murray J. Smith

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CRD#: 6830874

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Murray James Smith, CFP® was a registered financial professional .

Murray is a previously registered financial professional and started their career in finance in 2017. Murray had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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.

1) NAME OF OTHER BUSINESS: The Next Level Vending, LLC; BUSINESS ADDRESS: 10334 East Aperture Avenue, Mesa, AZ 85212; INVESTMENT RELATED: No; POSITION/TITLE/RELATIONSHIP: Founding Partner; BRIEF DESCRIPTION OF DUTIES: Management, Purchasing, Inventory; HOURS PER MONTH: 3-4 hours; 2) NAME OF OTHER BUSINESS: N/A - Rental Property; BUSINESS ADDRESS: 10334 East Aperture Avenue, Mesa, AZ 85212; INVESTMENT RELATED: No; POSITION/TITLE/RELATIONSHIP: Owner; BRIEF DESCRIPTION OF DUTIES: Managing outsourced property manager; HOURS PER MONTH: 3-4; 3) NAME OF OTHER BUSINESS: Pak University; BUSINESS ADDRESS: 10334 East Aperture Avenue, Mesa, AZ 85212; INVESTMENT RELATED: No; POSITION/TITLE/RELATIONSHIP: Adjunct Faculty; BRIEF DESCRIPTION OF DUTIES: Teaching CFP planning modules; HOURS PER MONTH: 12-16;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 28, 2020 - January 31, 2025

ASHTON THOMAS PRIVATE WEALTH

RIA

CRD#: 153902

SCOTTSDALE, AZ

Past

July 17, 2017 - January 23, 2020

KEATS, CONNELLY & ASSOCIATES, INC

RIA

CRD#: 148884

PHOENIX, 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".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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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Murray J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASHTON THOMAS PRIVATE WEALTH

KEATS, CONNELLY & ASSOCIATES, INC

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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