Scott Smith
Scott Smith is a registered investment advisor at J. W. Cole Advisors, INC., based in Huntington Beach, CA, with 22 years of industry experience. Scott operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 29,614 clients with $7.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
J.W. Cole Advisors' investment management fees are based on a tiered schedule, meaning the percentage you pay decreases as your portfolio grows. The exact fee can be negotiated and may be a flat rate instead of tiered. The maximum fee is generally 3.00% and the minimum is 0.25%. There is also a program fee charged, which covers services provided by JWCA and the custodian of your account. You'll pay these fees quarterly, regardless of how many trades are made. Some advisors may or may not pay transaction costs.
Location
17011 Beach Blvd, Suite 900, Huntington Beach, CA, 92647
Get directionsHistory
Regulatory History (4)
Regulatory
March 2024Regulatory
January 2023Employment Separation After Allegations
April 2020Customer Dispute
March 2020Other Business ActivitiesSells Insurance
Scott is a manager at Smith Wealth Partners, a client-facing business and website, dedicating a few hours per week. He is also a life and health insurance agent servicing existing clients for their life and long-term care needs, spending about 10-20% of his time on this.
Employment History
Current Registrations
J. W. Cole Advisors, INC.
Previous Registrations
J. W. Cole Advisors, INC.
J.W. Cole Financial, INC.Broker
Edward Jones
Edward JonesBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.