Steven K. Smartt

SMARTT WEALTH SOLUTIONS

GILBERT, AZ 85296

Some features on this profile are disabled

CRD#: 868752

Professional summary

Steven Kenneth Smartt is a registered financial advisor currently at SMARTT WEALTH SOLUTIONS, LLC located in Gilbert, Arizona.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Steven has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 27 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)INSURANCE BROKERAGE WITH VARIOUS CARRIERS. SALE OF LIFE INSURANCE. LESS THAN 5 HOURS PER WEEK. GILBERT, AZ.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kenneth Smartt'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

June 16, 2014 - Present

SMARTT WEALTH SOLUTIONS, LLC

Office #1: 1166 E Warner Road Suite 101, Gilbert, AZ 85296

RIA

CRD#: 171535

GILBERT, AZ

Past

April 1, 2011 - May 28, 2014

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

GILBERT, AZ

Past

April 1, 2011 - May 28, 2014

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

GILBERT, AZ

Past

May 22, 2007 - December 31, 2008

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

MESA, AZ

Past

May 21, 2007 - March 30, 2009

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

MESA, AZ

Past

November 11, 1999 - June 6, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

PHOENIX, AZ

Past

February 15, 1995 - May 23, 2007

OSAIC FA, INC.

RIA

CRD#: 3978

PHOENIX, AZ

Past

December 23, 1991 - October 20, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 23, 1991 - May 23, 2007

OSAIC FA, INC.

CRD#: 3978

PHOENIX, AZ

Past

October 22, 1990 - December 3, 1991

RICHARDS INVESTMENTS

CRD#: 3176

SALT LAKE CITY, UT

Past

November 28, 1988 - August 12, 1989

EAGLE POINTE SECURITIES

CRD#: 15849

Past

July 25, 1988 - November 9, 1988

OMNI BROKERAGE, INC.

CRD#: 16878

Past

April 9, 1984 - July 19, 1988

WADDELL & REED

CRD#: 866

Past

July 23, 1979 - February 27, 1984

WADDELL & REED

CRD#: 866

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

Arizona
(6/16/2014)

IAR

Utah
(10/1/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/18/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 7/13/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/22/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/1988

General Securities Principal Examination

Current Firm

SMARTT WEALTH SOLUTIONS, LLC

CRD#: 171535 / SEC#:

Arizona

Registered Investment Advisory firm - (6/16/2014 Approved)

Texas

Registered Investment Advisory firm - (10/1/2021 Terminated)

Utah

Registered Investment Advisory firm - (10/1/2015 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1166 E Warner Road Suite 101, Gilbert, AZ 85296

Mailing Address

Phone number

(480) 385-7540

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Ardal Powell

EAGLE STRATEGIES LLC

IAR

NEW WINDSOR, NY

Cheryl Williams

MORGAN STANLEY

PURCHASE, NY

Brennan Fontana

LIDO

IAR

San Diego, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven K. Smartt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kenneth Smartt's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

RICHARDS INVESTMENTS

EAGLE POINTE SECURITIES

OMNI BROKERAGE, INC.

WADDELL & REED

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/1992

Series 63

Date: 5/9/1989

Series 7

Date: 5/18/1985

Series 1

Date: 7/13/1979

Series 27

Date: 8/22/1988

Series 24

Date: 7/29/1988

Current Firm

SMARTT WEALTH SOLUTIONS, LLC

Contact information

Documents

Red Flags

Company Information

SMARTT WEALTH SOLUTIONS, LLC

TRUST BUT VERIFY

Similar Advisors