ES
Edward K. Smith
VERTEX PARTNERS
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 7400653
ES
Professional summary
Edward Kyle Smith is a registered financial advisor currently at VERTEX PARTNERS located in Downers Grove, Illinois and LPL FINANCIAL LLC located in Downers Grove, Illinois.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Edward has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 24 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. 04/18/2022 - Vertex Planning Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 4/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent - 100%. 2. 06/21/2022 - Vertex Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin- Start Date - 04/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent - 100% - I provide administrative support to Vertex Partners, an independent investment advisor firm. I started this business activity in 6/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 09/12/2023 - Chicago Blaze Rugby Club - Other - Rugby Coach - Head Coach - Not Investment Related - Lemont, IL - Start Date 08/01/2023 - 40 Hours Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Edward Kyle 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
May 15, 2022 - Present
VERTEX PARTNERS
Office #1: 3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515RIA
CRD#: 316839
Downers Grove, IL
Current
April 26, 2022 - Present
LPL FINANCIAL LLC
Office #1: 3000 Woodcreek Dr Ste 100, Downers Grove, IL 60515RIA
BD
CRD#: 6413
DOWNERS GROVE, IL
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".
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)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
Illinois(5/13/2022)
IAR
Illinois(5/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/26/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 836-3300
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,374 |
| AUM (Assets Under Management) | $ 827,936,305 |
Red Flags
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