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Jeffrey Smith
19 Years of Experience
Prosperity, SC
4 DisclosuresSells Insurance
Jeffrey Smith is a registered investment advisor at Compass Financial, LLC, based in Prosperity, SC, with 19 years of industry experience. Jeffrey operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 53 clients with $15M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
53 clients
Average Client Portfolio
$277K average
Assets Under Management
$14.7M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Annual fee of 0.80% on pension plans.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Prosperity, SC
Get directionsHistory
Regulatory History (4)
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Customer Dispute
November 2009Settled
Customer Dispute
October 2009Denied
Customer Dispute
August 2009Settled
Customer Dispute
August 2009Settled
Other Business ActivitiesSells Insurance
Jeffrey is licensed to sell life, health, and variable insurance products for various insurance companies. He spends minimal time on these insurance-related activities.
Employment History
Current Registrations
Compass Financial, LLC
January 2011 - Present · 15 yrs 4 mos
Previous Registrations
Compass Financial, LLC
February 2010 - December 2010 · 10 mos
Ing Financial Partners, INC
March 2006 - October 2009 · 3 yrs 7 mos
MML Investors Services, INC.
January 2006 - February 2006 · 1 mo
State Registrations3 states
CANVSC
Advisor
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.