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CFP
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CFP

Jeffrey Smith

Schwab Wealth Advisory, INC.
19 Years of Experience
Cottonwood Heights, UT
Broker
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Jeffrey Smith is a CFP-designated registered investment advisor at Schwab Wealth Advisory, INC., based in Cottonwood Heights, UT, with 19 years of industry experience. Jeffrey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more.

Schwab Wealth Advisory, INC.
Compensation
N/A
Firm Size
1670 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Minimum Investment:$500K
Planning is included in investment management

Schwab Wealth Advisory does not charge investment management fees directly; instead, program fees are handled through its affiliate sponsor, Charles Schwab & Co., and are detailed in separate program disclosure materials. The program generally requires a minimum investment of $500,000 to participate.

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Location

6550 S Big Cottonwood Canyon Road, Cottonwood Heights, UT, 84121

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Schwab Wealth Advisory, INC.
December 2021 - Present · 4 yrs 10 mos
Charles Schwab & CO., INC.Broker
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2011 - October 2021 · 10 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2011 - October 2021 · 10 yrs 2 mos
LPL Financial Corporation
October 2007 - January 2008 · 3 mos
LPL Financial CorporationBroker
October 2007 - January 2008 · 3 mos
1st Global Advisors INC
November 2004 - October 2007 · 2 yrs 11 mos
1st Global Capital CORP.Broker
October 2004 - October 2007 · 3 yrs
Mony Securities Corporation
December 2003 - November 2004 · 11 mos
Mony Securities CorporationBroker
December 2003 - November 2004 · 11 mos
Trusted Advisors
September 2003 - December 2003 · 3 mos
Trusted Securities Advisors CORP.Broker
February 2003 - December 2003 · 10 mos
State Registrations28 states
AZCACOCTDCFLHIIDILMAMDMEMOMTNENJNVNYOHORPATNTXUTVAWAWIWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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