Erik Smith

401 FINANCIAL

San Diego, CA

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CRD#: 7221722

Professional summary

Erik Smith, CFP® is a registered financial advisor currently at 401 FINANCIAL located in San Diego, California.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Erik has worked at 2 firms and has passed the Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Smith's 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: 2021

Experience

Current

June 27, 2022 - Present

401 FINANCIAL

RIA

CRD#: 321902

San Diego, CA

Past

May 18, 2021 - October 7, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

MILWAUKEE, WI

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

California
(6/27/2022)

IAR

Texas
(5/5/2023)

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

General Industry/Product Exam

Series 7TO

Date: 5/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/18/2021

Securities Industry Essentials Examination

Current Firm

401 FINANCIAL

401 FINANCIAL | 401 FINANCIAL LLC | 401 FINANCIAL INC.

CRD#: 321902 / SEC#:

California

Registered Investment Advisory firm - (6/27/2022 Approved)

Texas

Registered Investment Advisory firm - (4/12/2023 Conditional Restricted)

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(732) 965-3791

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Erik Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

401 FINANCIAL

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 7TO

Date: 5/18/2021

SIE

Date: 5/18/2021

Current Firm

401 FINANCIAL

Contact information

Documents

Red Flags

Company Information

401 FINANCIAL

TRUST BUT VERIFY

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