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Jeffrey Smith

Schwab Wealth Advisory, Inc.

Cottonwood Heights, UT

San Francisco, CA

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Current Employers
Schwab Wealth Advisory, Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2025-07-31
TX RA APPROVED 2022-01-04
AZ RA APPROVED 2021-12-02
  • UT RA
    APPROVED
    Since 2025-07-31
  • TX RA
    APPROVED
    Since 2022-01-04
  • AZ RA
    APPROVED
    Since 2021-12-02

Branch Locations

6550 S Big Cottonwood Canyon Road, Cottonwood Heights, UT 84121 • United States

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 07/2011 10/2021
Bank Of America, N.A. Chandler AZ 08/2011 10/2021
Charles Schwab & Co., Inc. Cottonwood Heights UT 10/2021 Present
Schwab Wealth Advisory, Inc. Cottonwood Heights UT 10/2021 Present
Previous Registrations
  • 2011-08-23 → 2021-10-06
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chandler, AZ
    Chandler, AZ
    Chandler, AZ
  • 2007-10-17 → 2008-01-29
    Lpl Financial Llc
    Mesa, AZ
    Fort Mill, SC
    Gilbert, AZ
  • 2004-11-04 → 2007-10-31
    1St Global Advisors Inc
    Mesa, AZ
  • 2003-12-02 → 2004-11-05
    Mony Securities Corporation
    Mesa, AZ
  • 2003-09-11 → 2003-12-02
    Trusted Securities Advisors Corp.
    Mesa, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-08-26
S65 Uniform Investment Adviser Law Examination 2011-06-02
  • S66 Uniform Combined State Law Examination
    2011-08-26
  • S65 Uniform Investment Adviser Law Examination
    2011-06-02
Designations
Other Names
  • Jeff Smith
  • Jeffrey William Smith
  • Jeffrey W Smith

View on SEC IAPD

Other Firms

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
LIDO
LPL FINANCIAL LLC
PRIME CAPITAL FINANCIAL
SEQUOIA FINANCIAL GROUP, L.L.C.
OSAIC WEALTH, INC.
CETERA INVESTMENT ADVISERS LLC

Other Investors

Peter Kelson
STAN JOSEPH GOODELL
Jeremy David Miller
MATTHEW RENE BRUNNER
Jeffrey T Barrick
SCOTT RAYMOND BURNETT
Alicia J Zhang
JESSE VANCE

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Cottonwood Heights, UT
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COTTONWOOD HEIGHTS , UT
LIDO · Cottonwood Heights, UT
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COTTONWOOD HEIGHTS, UT
LPL FINANCIAL LLC · MIDVALE, UT
LPL FINANCIAL LLC · COTTONWOOD HEIGHTS, UT
PRIME CAPITAL FINANCIAL · Cottonwood Heights, UT
SEQUOIA FINANCIAL GROUP, L.L.C. · Cottonwood Heights, UT

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