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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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For Advisors
GS

Gregory L. Smith

Some features on this profile are disabled
CRD#: 811291
GS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Lee Smith, who also goes by Gregg Smith, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1975. Gregory had worked at 10 firms and has passed the Series 63, Series 99TO, Series 6TO, Series 52TO, SIE, Series 3, Series 7, Series 14, Series 53, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregg 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2020 - December 31, 2021

ARKADIOS WEALTH ADVISORS

RIA
CRD#: 288863
Huntsville, AL
Past

January 6, 2020 - December 31, 2021

ARKADIOS CAPITAL

BD
CRD#: 282710
Huntsville, AL
Past

January 3, 2020 - January 6, 2020

ARKADIOS WEALTH ADVISORS

RIA
CRD#: 288863
Huntsville, AL
Past

November 8, 2019 - November 8, 2019

ARKADIOS WEALTH ADVISORS

RIA
CRD#: 288863
Huntsville, AL
Past

November 8, 2019 - December 4, 2019

ARKADIOS CAPITAL

BD
CRD#: 282710
Huntsville, AL
Past

November 11, 1999 - December 31, 2019

ZERMATT SECURITIES LLC

BD
CRD#: 47502
HUNTSVILLE, AL
Past

February 17, 1995 - December 31, 2019

ZERMATT SECURITIES LLC

RIA
CRD#: 47502
HUNTSVILLE, AL
Past

March 7, 1994 - November 11, 1999

BOLTON GLOBAL CAPITAL

BD
CRD#: 15650
BOLTON, MA
Past

February 1, 1989 - February 28, 1994

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

October 6, 1987 - January 20, 1989

MARSHALL & CO. SECURITIES, INC.

BD
CRD#: 17942
Past

March 26, 1985 - August 18, 1987

PROFESSIONAL BROKERAGE SERVICES INC.

BD
CRD#: 7998
Past

October 7, 1980 - April 3, 1985

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

September 26, 1978 - November 7, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

August 21, 1975 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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".
AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS

CRD#: 288863 / SEC#: 801-110833

RIA
Registered Investment Advisory firm - (7/17/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/8/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/12/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 9/30/1999
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/1985
General Securities Principal Examination

Current Firm

AW
ARKADIOS WEALTH ADVISORS
1031 SOLUTIONS | ZIMCO CAPITAL | WHITESTONE WEALTH MANAGEMENT | WHEELER WEALTH | WEBB GARNER | WEALTHSTONE GROUP | WEALTH ARCHITECTS, INC. | TUCKER INVESTMENT COUNSEL | TNT FINANCIAL SERVICES, LLC | THOMPSON/PRATT CAPITAL MANAGEMENT LLC | THE OAK FINANCIAL GROUP | TEXAS REGIONAL BANK | TBAER WEALTH MANAGEMENT | STRIVE FINANCIAL | STEWARDSHIP WEALTH MANAGEMENT | SR BROWN FINANCIAL SERVICES | SOUTHPARK CAPITAL | SINCLAIR FINANCIAL | SHEPPARD MOSHER WEALTH MANAGEMENT | SELECT WEALTH ADVISORS LLC | SECURA WEALTH MANAGEMENT | RUSSELL TOTAL WEALTH AND WELLNESS | RIVERTAN FINANCIAL | REVOLUTION X | RESOURCE INVESTMENT ARCHITECTS | RBG CAPITAL | RANGER WEALTH | PROXIMITY FINANCIAL PARTNERS | PRESERVATION SPECIALISTS, LLC | PIEDMONT WEALTH PARTNERS | PERSONAL PORTFOLIOS | PERCH WEALTH | PEAK RETIREMENT GROUP | PARRY FINANCIAL ADVISORS | OAK FINANCIAL ADVISORS | NGC GLOBAL WEALTH MANAGEMENT | MOORE INVESTED | MONARCH CAPITAL ADVISORS | MCFARLIN CAPITAL, LLC | MATRIX WEALTH MANAGEMENT | KLESTINSKI RAPP MARMITT INVESTMENT COUNSEL | KINSHIP WEALTH PARTNERS | KG WEALTH | KEYSTONE CAPITAL PARTNERS GROUP | INTEGRITY FINANCIAL | HOLOS INTEGRATED WEALTH | HERITAGE PENSION ADVISORS | HARVEST WEALTH ADVISORS | GULF COAST WEALTH MANAGEMENT | GREGG LENTZ & ASSOCIATES | G.L. SMITH AND ASSOCIATES | FOUNDATION FINANCIAL GROUP | FORESIGHT FINANCIAL PARTNERS | EXCLUSIVE FINANCIAL RESOURCES | EXCLUSIVE ADVISORS LLC | EAST PACES GROUP | DOWNEAST PRIVATE WEALTH | CREATIVE CAPITAL WEALTH MANAGEMENT | CORBET CAPITAL | CLOVER CAPITAL PARTNERS | BOB BURKE FINANCIAL SERVICES | BLUECHIP WEALTH ADVISORS | BERG FINANCIALS | BANDER WEALTH MANAGEMENT | ARKADIOS WEALTH ADVISORS LLC | ARKADIOS WEALTH ADVISORS | AKERS FINANCIAL GROUP | AIM ADVISERS

CRD#: 288863 / SEC#: 801-110833

RIA
Registered Investment Advisory firm - (7/17/2017 Approved)
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Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
Phone number
(404) 445-0035
Established
Firm type
Fiscal year end
# of Employees
188

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PEAK WRAP FEE PROGRAM BROCHURE (3/31/2025)
ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts12,091
AUM (Assets Under Management)$ 3,856,398,203

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.

Company Information

ARKADIOS WEALTH ADVISORS

CRD#: 288863

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