Chase Allan Smith

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2012 → 06/2017
  Lebenthal & Co., Llc
  New York, NY
• 06/2017 → 10/2022
  Cerity Partners Llc
  New York, NY
• 10/2022 → 09/2024
  Securities America Advisors
  Beacon, NY
• 06/2024 → 06/2024
  Osaic Wealth, Inc.
  Jersey City, NJ
• 09/2024 → Present
  Rbt Wealth Llc
  Beacon, NY

Previous Registrations

• 2024-09-17 → 2024-12-31
  Rbt Wealth Llc
  Newburgh, NY
  Beacon, NY
• 2022-10-10 → 2024-06-14
  Securities America Advisors, Inc.
  Beacon, NY
• 2021-08-19 → 2022-11-17
  Cerity Partners Llc
  New York, NY

Other Businesses

1. SAA Position: IAR - Nature: Where I hold my advisory business for clients. Investment Related: Yes - Hours: 250 - Securities Trading Hours: 7 - Start Date: 10/10/2022 Address: 427 Main St, Beacon NY 12508, United States 2. RBT WEALTH POSITION: Partner/Financial Advisor NATURE: Independent Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 07/17/2024 ADDRESS: 11 Racquet Road, Newburgh NY 12550, United States DESCRIPTION: We will be partnering with a CPA firm who is creating a wealth management division. We will be operating the daily activities for the wealth management division.

Exams

• S63 Uniform Securities Agent State Law Examination
  2011-03-31