Erik Smith is a CFP-designated registered investment advisor at 401 Financial, based in San Diego, CA, with 4 years of industry experience. Erik operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
401 Financial provides investment advice as part of its ongoing financial planning services. They develop an investment plan with an asset allocation target and create and manage a portfolio based on that policy. Clients are responsible for implementing any recommendations. 401 Financial makes recommendations only and does not have authority to place trades or make investments on behalf of a Client.
Location
San Diego, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Current Registrations
401 Financial
Previous Registrations
MML Investors Services, LLCBroker
State Registrations1 state
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