KS
Kelly J. Smith
J. W. COLE ADVISORS
Huntington Beach, CA 92647
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CRD#: 7352607
KS
Professional summary
Kelly Jordan Smith is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Huntington Beach, California.
Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Kelly has worked at 2 firms and has passed the Series 66, 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.
(1) Smith Wealth Partners; DBA; Investment Related; 17011 Beach Blvd, Suite 900, Huntington Beach, CA 92647; Investment Advisory; Investment Advisor; Start 4/14/2023; 120 hrs/mo, 120 hrs/mo during trading. (2) Insurance Services; Not investment related; 17011 Beach Blvd, Ste 900, Huntington Beach, CA 92647; Life and Health Agent; Life/health serving existing clients for their life/LTC needs; Start 9/2/24; 10 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Jordan 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®
NoneExperience
Current
April 11, 2023 - Present
J. W. COLE ADVISORS, INC.
Office #1: 17011 Beach Blvd. Suite 900, Huntington Beach, CA 92647RIA
CRD#: 112294
Huntington Beach, CA
Past
June 23, 2021 - December 31, 2021
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
Huntington Beach, CA
Past
May 24, 2021 - December 31, 2021
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Huntington Beach, 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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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(4/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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