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San Diego, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-09-30 |
| LA | RA | APPROVED | 2025-06-18 |
| TX | RA | APPROVED_RES | 2025-05-17 |
| CA | RA | APPROVED | 2025-05-16 |
Branch Locations
San Diego, CA • United States
2121 Avenue Of The Stars Ste 800, Los Angeles, CA 90067 • United States
1115 W Fulton Market 3Rd Floor, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-01 |
Branch Locations
1999 Avenue Of The Stars Suite 1100, Century City, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Larson Financial Securities, Llc | St. Louis | MO | 10/2013 | 05/2018 |
| Larson Financial Group, Llc | St. Louis | MO | 10/2013 | 05/2018 |
| Arete Wealth Management Llc | Chicago | IL | 05/2018 | Present |
| Arete Wealth Advisors Llc | Chicago | IL | 05/2018 | Present |
| Polymath Investments, Llc | San Diego | CA | 05/2025 | Present |
The only business Mr. Smith engages in other than giving investment advice is when he acts in the capacity of an insurance agent. Mr. Smith spends less than 5% of his time working in the capacity of an insurance agent.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-02-19 |
| S65 | Uniform Investment Adviser Law Examination | 2009-05-04 |
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