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Jeremy Windell Smith

Seros Financial, LLC
18 Years of Experience
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net WorthBusiness Owners
Seros Financial, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
534 clients
Average Client Portfolio
$564K average
Assets Under Management
$301.1M

Fee Structure

Minimum Investment:$500K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K1.90%
$5K - $1000K1.85%
$1.0M - $2.0M1.65%
$2M+1.60%

Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—

Location

2141 East Broadway Rd., Suite 220, Tempe, AZ, 85282

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2024
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jeremy is the owner of Seros Financial LLC, a registered investment advisor, and Seros Insurance, providing insurance services. He also has ownership or management roles in several real estate and business-related entities, and is an assistant football coach.

Employment History
Current Registrations
Seros Financial, LLC
March 2013 - Present · 12 yrs 11 mos
Previous Registrations
United Planners' Financial Services of America a Limited PartnerBroker
June 2013 - November 2025 · 12 yrs 5 mos
Newmark Capital Management, LLC
June 2010 - December 2020 · 10 yrs 6 mos
First Financial Equity Corporation
May 2009 - July 2013 · 4 yrs 2 mos
First Financial Equity CorporationBroker
May 2009 - July 2013 · 4 yrs 2 mos
Sagepoint Financial, INC.Broker
May 2008 - May 2009 · 1 yr
Alliance Financial Group, INC.
April 2007 - May 2009 · 2 yrs 1 mo
State Registrations2 states
AZTX
Advisor
Exams
No exam information available for this advisor.