Anthony J. Smith

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CRD#: 6983931

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.

Anthony J Smith, CFP®, who also goes by Anthony J Smith, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2019. Anthony had worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony J 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.

1) PEAK360 WEALTH MANAGEMENT, LLC; Yes; 2404 San Ramon Valley Blvd. #200, San Ramon CA 94583; Life Agent; Life Agent; 07/2025; 80 hours/month; 80 hours/month/securities trading hours; Life insurance sales as needed for clients who have a need.

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

Start date: 2020

Experience

Past

August 15, 2025 - September 19, 2025

BROOKER WEALTH MANAGEMENT

RIA

CRD#: 105437

OAKLAND, CA

Past

August 13, 2025 - September 18, 2025

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

San Ramon, CA

Past

June 24, 2020 - December 2, 2024

LODESTAR PRIVATE ASSET MANAGEMENT LLC

RIA

CRD#: 107638

ALAMO, CA

Past

August 6, 2019 - June 19, 2020

JW HARRISON FINANCIAL, INC.

RIA

CRD#: 156845

WALNUT CREEK, CA

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".

BROOKER WEALTH MANAGEMENT

BROOKER JOHN W & CO CPA PC | JOHN W. BROOKER & CO., CPAS,PC | JOHN W. BROOKER & CO., CPAS, PC | BROOKER WEALTH MANAGEMENT

CRD#: 105437 / SEC#: 801-19247

RIA

Registered Investment Advisory firm - (7/15/1983 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

State Security Law Exam

IAR

Series 65

Date: 8/5/2019

Uniform Investment Adviser Law Examination

Current Firm

BROOKER WEALTH MANAGEMENT

BROOKER JOHN W & CO CPA PC | JOHN W. BROOKER & CO., CPAS,PC | JOHN W. BROOKER & CO., CPAS, PC | BROOKER WEALTH MANAGEMENT

CRD#: 105437 / SEC#: 801-19247

RIA

Registered Investment Advisory firm - (7/15/1983 Approved)

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Contact information

Main Address

7677 Oakport Street Suite 300, Oakland, CA 94621

Mailing Address

Phone number

(510) 638-1815

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKER WEALTH MANAGEMENT FIRM BROCHURE PART 2A & 2B - FEBRUARY 2025 (5/16/2025)

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 592,401,793

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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Anthony J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKER WEALTH MANAGEMENT

LION STREET ADVISORS, LLC

LODESTAR PRIVATE ASSET MANAGEMENT LLC

JW HARRISON FINANCIAL, INC.

Primary Firm SEC Registration

BROOKER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/2019

Current Firm

BROOKER WEALTH MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKER WEALTH MANAGEMENT

TRUST BUT VERIFY

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