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Inactive

Steven Kenneth Smartt

Smartt Wealth Solutions, LLC

Gilbert, AZ

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Current Employers
Smartt Wealth Solutions, Llc

1166 E Warner Road Suite 101, Gilbert, AZ 85296 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2015-10-01
AZ RA APPROVED 2014-06-16
  • UT RA
    APPROVED
    Since 2015-10-01
  • AZ RA
    APPROVED
    Since 2014-06-16

Branch Locations

1166 E Warner Road Suite 101, Gilbert, AZ 85296 • 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
Smartt Solutions, Llc Mesa AZ 04/2009 Present
Smartt Wealth Solutions, Llc Gilbert AZ 05/2014 Present
Previous Registrations
  • 2011-04-01 → 2014-05-28
    Newport Coast Securities, Inc.
    New York, NY
    Gilbert, AZ
    Irvine, CA
  • 2007-05-22 → 2008-12-31
    Private Consulting Group, Inc.
    Mesa, AZ
    Portland, OR
    Centerville, UT
  • 1995-02-15 → 2007-05-23
    Osaic Fa, Inc.
    Carlsbad, NM
    Artesia, NM
    Las Vegas, NV
    Scottsdale, AZ
Other Businesses

1)INSURANCE BROKERAGE WITH VARIOUS CARRIERS. SALE OF LIFE INSURANCE. LESS THAN 5 HOURS PER WEEK. GILBERT, AZ.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-28
S63 Uniform Securities Agent State Law Examination 1989-05-09
  • S65 Uniform Investment Adviser Law Examination
    1992-05-28
  • S63 Uniform Securities Agent State Law Examination
    1989-05-09

View on SEC IAPD

Other Firms

WATTS GWILLIAM & COMPANY, LLC
CETERA INVESTMENT ADVISERS LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
MONEY CONCEPTS CAPITAL CORP
BRIGHTGUIDE FINANCIAL
KINGSLEY WEALTH PARTNERS, INC.
VM JONES FINANCIAL CONSULTING, L.L.C.

Other Investors

DAVID BRUCE WATTS
MATTHEW CHAD WILLETT
Kimball E Gwilliam
Benjamin Cooper
DANIEL BRADFORD GWILLIAM
JEFFREY STEPHEN WATTS
JONATHAN MARK VEST
JEFFREY ALLEN FRYER

Other Offices

WATTS GWILLIAM & COMPANY, LLC · GILBERT, AZ
WATTS GWILLIAM & COMPANY, LLC · GILBERT, AZ
CETERA INVESTMENT ADVISERS LLC · GILBERT, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Gilbert, AZ
EDWARD JONES · GILBERT, AZ
MONEY CONCEPTS CAPITAL CORP · GILBERT, AZ
BRIGHTGUIDE FINANCIAL · GILBERT, AZ
KINGSLEY WEALTH PARTNERS, INC. · GILBERT, AZ

More in Gilbert, AZ

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