Arthur J Smithee

Current Employers

Diamond Wealth Management, Llc

40 W. Main Street Court Suite 250E, Alpine, UT 84004 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-02-03
UT	RA	APPROVED	2018-09-28

TX RA
APPROVED_RES

Since 2021-02-03
UT RA
APPROVED

Since 2018-09-28

Branch Locations

40 W. Main Street Court Suite 250E, Alpine, UT 84004 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Berthel Fisher & Company Financial Services, Inc	Orem	UT	01/2015	05/2017
Bfc Planning, Inc.	Orem	UT	02/2015	05/2017
Berthel Fisher & Company Financial Services, Inc.	Orem	UT	08/2017	01/2018
Bfc Planning, Inc.	Orem	UT	11/2017	01/2018
Diamond Wealth Management, Llc	Alpine	UT	09/2018	Present
Arthur J Smithee, Jr. Sole Proprietor	Orem	UT	07/1981	Present
Joshua Management Group, Llc	Orem	UT	08/2009	Present
Omninox Technologies Llc	Orem	UT	02/2018	Present
Novox Llc	Orem	UT	02/2018	Present
Zellim, Inc.	Lehi	UT	04/2021	Present
Sole Proprietor-Consultant	Orem	UT	06/2021	Present

01/2015 → 05/2017

Berthel Fisher & Company Financial Services, Inc

Orem, UT
02/2015 → 05/2017

Bfc Planning, Inc.

Orem, UT
08/2017 → 01/2018

Berthel Fisher & Company Financial Services, Inc.

Orem, UT
11/2017 → 01/2018

Bfc Planning, Inc.

Orem, UT
09/2018 → Present

Diamond Wealth Management, Llc

Alpine, UT
07/1981 → Present

Arthur J Smithee, Jr. Sole Proprietor

Orem, UT
08/2009 → Present

Joshua Management Group, Llc

Orem, UT
02/2018 → Present

Omninox Technologies Llc

Orem, UT
02/2018 → Present

Novox Llc

Orem, UT
04/2021 → Present

Zellim, Inc.

Lehi, UT
06/2021 → Present

Sole Proprietor-Consultant

Orem, UT

Previous Registrations

2017-11-28 → 2018-01-12

Bfc Planning, Inc.

Orem, UT

Cedar Rapids, IA
2015-02-12 → 2017-05-12

Bfc Planning, Inc.

Orem, UT

Cedar Rapids, IA
2004-05-24 → 2015-01-16

Lpl Financial Llc

Orem, UT
2000-09-29 → 2004-06-02

Citigroup Global Markets Inc.

Provo, UT

Other Businesses

1.Arthur J Smithee Jr, Sole Proprietor; Insurance;53 W 560 S, Orem UT 84058; Insurance Agent; 07/1981; Marketing and sales of insurance. Approximately 10 hours a month; 5 during trading hours. 2. Novox LLC; Medical Device;53 W 560 S, Orem UT 84058; Manager; 02/2018; Develop, manufacture and market medical devices. 3. Omninox Technologies LLC; 227 W 700 S, Orem UT 84058; Manager; 02/2018; Develop manufacture and market medical devices. 4. Joshua Management Group LLC; 53 W 560 S, Orem UT 84058; Manager; 06/2009; Consult, Design, market technology Devices; Consultant; planning and consulting for business entity structure and operation; estate, business and family succession, charitable and tax strategies; Orem, UT; 06/2021; Approximately 15% of time spent in this practice. 5. Zellim, Inc.; 2975 W. Executive Parkway, Ste 140, Lehi, UT 84043; Board Member; 04/2021; Develop productivity software for small to medium businesses; Duties consistent with those of a board member; advise company on business decisions; assist with future objectives; 5 hours per month spent in this practice. 6. Equity Real Estate Solid; licensed Utah Real Estate Agent; Start Date: 02/2024.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-07-15
S63	Uniform Securities Agent State Law Examination	1989-01-04

S65 Uniform Investment Adviser Law Examination

1998-07-15
S63 Uniform Securities Agent State Law Examination

1989-01-04

Other Names

Arthur J Smithee

View on SEC IAPD