SS
Sierra K. Smith
BLUE MARBLE INVESTMENTS
SANTA BARBARA, CA 93101
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CRD#: 7373331
SS
Professional summary
Sierra Kathryn Smith, who also goes by Sierra Smith, is a registered financial advisor currently at BLUE MARBLE INVESTMENTS located in Santa Barbara, California and PURSHE KAPLAN STERLING INVESTMENTS located in Santa Barbara, California.
Sierra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Sierra has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sierra 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. Blue Marble Investments LLC. Investment Related. At Registered Location. RIA. IAR. 10/2021. 40. 40. Services As an Investment Advisor Representative and Registered Representative.
CRS (Client Relationship Summary) - RIA
Click below to view Sierra Kathryn 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
June 7, 2022 - Present
BLUE MARBLE INVESTMENTS
Office #1: 1117 State St. #85, Santa Barbara, CA 93101RIA
CRD#: 141354
SANTA BARBARA, CA
Current
October 28, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 3345 State Street #3335, Santa Barbara, CA 93130BD
CRD#: 35747
Santa Barbara, 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".
BM
BLUE MARBLE INVESTMENTS
BLUE MARBLE INVESTMENTS | EARTHFOLIO | BLUE MARBLE INVESTMENTS, LLC
CRD#: 141354 / SEC#: 801-120447
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (4/29/2021 Terminated)Colorado
Registered Investment Advisory firm - (4/16/2021 Terminated)Illinois
Registered Investment Advisory firm - (5/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/1/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/30/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)New York
Registered Investment Advisory firm - (3/30/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2021 Terminated)Washington
Registered Investment Advisory firm - (4/30/2021 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/16/2021)
IAR
California(6/7/2022)
IAR
Texas(1/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/28/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BM
BLUE MARBLE INVESTMENTS
BLUE MARBLE INVESTMENTS | EARTHFOLIO | BLUE MARBLE INVESTMENTS, LLC
CRD#: 141354 / SEC#: 801-120447
RIA
Registered Investment Advisory firm - (3/5/2021 Approved)California
Registered Investment Advisory firm - (4/29/2021 Terminated)Colorado
Registered Investment Advisory firm - (4/16/2021 Terminated)Illinois
Registered Investment Advisory firm - (5/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (4/1/2021 Terminated)Maryland
Registered Investment Advisory firm - (3/30/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)New York
Registered Investment Advisory firm - (3/30/2021 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2021 Terminated)Washington
Registered Investment Advisory firm - (4/30/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1117 State St. #85, Santa Barbara, CA 93101
Mailing Address
Phone number
(805) 595-1820
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 407 |
| AUM (Assets Under Management) | $ 181,448,959 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BLUE MARBLE INVESTMENTS
CRD#: 141354Santa Barbara, CA 93101TRUST BUT VERIFY
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