Zachary B. Smythe

ARTHUR STEIN FINANCIAL

Marriottsville, MD

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CRD#: 6958675

Professional summary

Zachary Brandon Smythe, CFP®, who also goes by Zachary Smythe, Zack Smythe, is a registered financial advisor currently at ARTHUR STEIN FINANCIAL, LLC located in Marriottsville, Maryland.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Zachary has worked at 4 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zachary Smythe | Zack Smythe

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.

Licensed Insurance Agent - N/A; NO current/active affiliation to a business - 0 hours devoted per month, during securities trading hours or otherwise.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Brandon Smythe'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

May 22, 2024 - Present

ARTHUR STEIN FINANCIAL, LLC

RIA

CRD#: 160627

Marriottsville, MD

Past

May 31, 2023 - March 12, 2024

FEFA FINANCIAL

RIA

CRD#: 324833

Marriottsville, MD

Past

December 16, 2022 - February 19, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

St. Louis, MO

Past

August 26, 2019 - November 17, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

ARTHUR STEIN FINANCIAL, LLC

ARTHUR STEIN FINANCIAL, LLC | STEIN III, ARTHUR

CRD#: 160627 / SEC#: 801-131069

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

District of Columbia

Registered Investment Advisory firm - (9/16/2024 Terminated)

Maryland

Registered Investment Advisory firm - (3/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/17/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

District of Columbia
(6/26/2024)

IAR

Maryland
(5/22/2024)

IAR

Texas
(5/22/2024)

IAR

Virginia
(5/22/2024)

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

Series 63

Date: 9/6/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/6/2019

Securities Industry Essentials Examination

Current Firm

ARTHUR STEIN FINANCIAL, LLC

ARTHUR STEIN FINANCIAL, LLC | STEIN III, ARTHUR

CRD#: 160627 / SEC#: 801-131069

RIA

Registered Investment Advisory firm - (9/6/2024 Approved)

District of Columbia

Registered Investment Advisory firm - (9/16/2024 Terminated)

Maryland

Registered Investment Advisory firm - (3/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2024 Terminated)

Virginia

Registered Investment Advisory firm - (9/17/2024 Terminated)

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Contact information

Main Address

6701 Democracy Blvd. Suite 300, Bethesda, MD 20817

Mailing Address

Phone number

(301) 377-9407

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASF DISCLOSURE BROCHURE & BROCHURE SUPPLEMENT (3/27/2025)

Regulatory assets under management

Total Number of Accounts	271
AUM (Assets Under Management)	$ 116,280,172

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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Firm Stability Insights

Zachary B. Smythe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Brandon Smythe's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARTHUR STEIN FINANCIAL, LLC

FEFA FINANCIAL

AE WEALTH MANAGEMENT, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ARTHUR STEIN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/6/2019

Series 7TO

Date: 8/26/2019

SIE

Date: 5/6/2019

Current Firm

ARTHUR STEIN FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARTHUR STEIN FINANCIAL, LLC

TRUST BUT VERIFY

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