Justin R. Smith

PLAN B INVESTMENTS

Carmel Valley, CA 93924

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CRD#: 7804126

Professional summary

Justin Robert Smith is a registered financial advisor currently at PLAN B INVESTMENTS, INC. located in Carmel Valley, California.

Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Justin has worked at 1 firm and has passed the Series 65 exam.

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 Justin Robert 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®

None

Experience

Current

November 27, 2023 - Present

PLAN B INVESTMENTS, INC.

Office #1: 13770 Center St Suite 206, Carmel Valley, CA 93924

RIA

CRD#: 136162

Carmel Valley, CA

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
(11/27/2023)

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Exams

State Security Law Exam

IAR

Series 65

Date: 11/27/2023

Uniform Investment Adviser Law Examination

Current Firm

PLAN B INVESTMENTS, INC.

PLAN B INVESTMENTS, INC. | SINRA SUCCESSOR TRUSTEE SERVICES, INC.

CRD#: 136162 / SEC#: , 8-66978

California

Registered Investment Advisory firm - SEC (3/14/2006 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

13770 Center St Suite 206, Carmel Valley, CA 93924

Mailing Address

Po Box 669, Carmel Valley, CA 93924

Phone number

(818) 859-7300

Established

California since 10/10/2004

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
OMALLEY, MARTIN PHILLIP	PRESIDENT, CHIEF COMPLIANCE OFFICER	1522931

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 27,101,246

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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Justin R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PLAN B INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2023

Current Firm

PLAN B INVESTMENTS, INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PLAN B INVESTMENTS, INC.

TRUST BUT VERIFY

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