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Erik Smith

401 Financial

San Diego, CA

CRD 7221722

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Employer firm

401 Financial CRD 321902

12 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
401 Financial

San Diego, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

San Diego, CA • 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
Principal Des Moines IA 08/2015 04/2019
Us Bank Milwaukee WI 04/2019 02/2020
Roell Capital Management (Mass Mutual) Milwaukee WI 02/2020 10/2021
401 Financial, Llc San Diego CA 06/2022 Present
Onramp San Diego CA 10/2021 06/2022
  • 08/2015 → 04/2019
    Principal
    Des Moines, IA
  • 04/2019 → 02/2020
    Us Bank
    Milwaukee, WI
  • 02/2020 → 10/2021
    Roell Capital Management (Mass Mutual)
    Milwaukee, WI
  • 06/2022 → Present
    401 Financial, Llc
    San Diego, CA
  • 10/2021 → 06/2022
    Onramp
    San Diego, CA
Designations
  • Certified Financial Planner

View on SEC IAPD

More in San Diego, CA

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