Aaron Taylor Smith

Current Employers

Employment History

• 11/1993 → Present
  Smith Financial Corp
  Kokomo, IN
• 01/2014 → Present
  Mercap Securities, Llc
  Paoli, PA

Previous Registrations

• 2009-08-31 → 2010-09-01
  Valmark Advisers, Inc.
  Kokomo, IN
• 2004-07-07 → 2008-11-20
  Kestra Investment Services, Llc
  Kokomo, IN

Other Businesses

1. NAME OF BUSINESS:SMITH FINANCIAL INVESTMENT ADVISORS, INC. 1830 S.PLATE ST, KOKOMO, IN 46902. 765-459-4111. NO EMAIL.THIS IS A CORPORATION. NATURE OF BUSINESS:REGISTERED INVESTMENT ADVISER. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:INVESTMENT ADVISER REP AND CHIEF COMPLIANCE OFFICER, DUTIES:INVESTMENT RESEARCH, PLAN PREP FOR CLIENTS, COMPLIANCE ACTIVITIES. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:140. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:140. DATE STARTED:JUNE 2010. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:SALARY. 2. NAME OF BUSINESS:SMITH FINANCIAL/ROCKE AND SMITH 1830 S. PLATE STREET, KOKOMO, IN 46902. 765-459-4111. EMAIL:AARONSMITH@SMITHFINANCIAL.COM THIS BUSINESS IS AN LLC. NATURE OF BUSINESS:INSURANCE SALES. IS THIS BUSINESS INVESTMENT RELATED:NO TITLE: FINANCIAL ANALYST. DUTIES:ASSIST IN CLIENT MEETINGS AND PRESENTATION PREPARATION. APPROX. #R OF HOURS PER MONTH DEVOTED TO ACTIVITY:35. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:35. DATE STARTED:JULY 2000. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:SALARY. 3. NAME OF BUSINESS:COMMUNITY FOUNDATION OF HOWARD COUNTY, INC. 215 W SYCAMORE, KOKOMO, IN 46901. 765-454-7298. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS: COMMUNITY FOUNDATION. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:INVESTMENT COMMITTEE MEMBER. DUTIES:PREPARATION OF INVESTMENT REPORTS, PARTICIPATE IN INVESTMENT DECISION MAKING PROCESS. APPROX # OF HOURS PER MONTH DEVOTED TO ACTIVITY:2HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2HOURS. DATE STARTED:AUGUST 2009. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED: NONE. 4. NAME OF BUSINESS:BOY SCOUTS OF AMERICA - SAGAMORE COUNCIL 518 N. MAIN ST, KOKOMO, IN 46901. 800-844-0537. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS: YOUTH SERVICES. IS THIS BUSINESS INVESTMENT RELATED: NO. TITLE: VP OF DEVELOPMENT. DUTIES: OVERSEE FUNDRAISING AND CERTAIN FINANCIAL REPORTING, INVESTMENT COMMITTEE. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY: 5-10 HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2 HOURS. DATE STARTED:JANUARY 2018. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE. 5. NAME OF BUSINESS:ROTARY CLUB OF KOKOMO, PO BOX 311, KOKOMO, IN 46903-0311. NO EMAIL. THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:COMMUNITY SERVICE/NON-PROFIT. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:TREASURER. DUTIES:GENERAL BOARD MEMBER, BANK RECONCILIATION, BILL PAYMENT (INCLUDES ISSUING CHECKS) . APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:2 HOURS. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:2012, (TREASURER 1/2017). FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:I RECEIVE NO COMPENSATION. 6. NAME OF BUSINESS: AARON SMITH LAW SERVICES. 1830 S. PLATE ST., KOKOMO, IN 46902. 765-459-4111. NO EMAIL. THIS BUSINESS IS A SOLE PROPRIETORSHIP. NATURE OF BUSINESS:AARON SMITH LAW SERVICES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:ATTORNEY/OWNER. DUTIES:LEGAL SERVICES. APPROX # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:10HOURS. APPROX # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:10HOURS. DATE STARTED:12/2014. FINANCIAL INTEREST IN THIS BUSINESS:YES, I AM THE PROPRIETOR. HOW COMPENSATED:NET INCOME. 7.NAME OF BUSINESS:KOKOMO CEO PROGRAM, NO PHYSICAL ADDRESS OR PHONE NUMBER. NO EMAIL. THIS BUSINESS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:CHARITABLE ORGANIZATION. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:BOARD MEMBER. DUTIES:ATTEND BOARD MEETINGS, PARTICIPATE IN ORGANIZATION FUNDING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:2-3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:0. DATE STARTED:10/25/2015. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NO COMPENSATION.

Exams

• S66 Uniform Combined State Law Examination
  2004-06-09
• S63 Uniform Securities Agent State Law Examination
  2000-08-02