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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

Jeffrey Smith

Advisor at SCHWAB WEALTH ADVISORY, INC.

Cottonwood Heights, UT | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:55899a43-237a-52af-7eba-b91fccb37f92

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 11, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 11, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66|S65
First exam: Jun 2, 2011
First registration: Sep 11, 2003
Dual registered: yes, broker-dealer
Other names: JEFF SMITH|JEFFREY WILLIAM SMITH|JEFFREY W SMITH
IAPD individual key: 4623685

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Dec 2, 2021	n/a	yes	Cottonwood Heights, UT\|SAN FRANCISCO, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 23, 2011	Oct 6, 2021	no	CHANDLER, AZ\|CHANDLER, AZ\|CHANDLER, AZ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 17, 2007	Jan 29, 2008	no	MESA, AZ\|FORT MILL, SC\|GILBERT, AZ	Previous registration
1ST GLOBAL ADVISORS INC	Former SEC adviser	Nov 4, 2004	Oct 31, 2007	no	MESA, AZ	Previous registration
MONY SECURITIES CORPORATION	n/a	Dec 2, 2003	Nov 5, 2004	no	MESA, AZ	Previous registration
TRUSTED SECURITIES ADVISORS CORP.	n/a	Sep 11, 2003	Dec 2, 2003	no	MESA, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SCHWAB WEALTH ADVISORY, INC.	Oct 6, 2021	Dec 2, 2021	57	Firm change	Other
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 29, 2008	Aug 23, 2011	1,302	Firm change after gap	Other
1ST GLOBAL ADVISORS INC	LPL FINANCIAL LLC	Oct 31, 2007	Oct 17, 2007	-14	Firm change	Other
MONY SECURITIES CORPORATION	1ST GLOBAL ADVISORS INC	Nov 5, 2004	Nov 4, 2004	-1	Firm change	Other
TRUSTED SECURITIES ADVISORS CORP.	MONY SECURITIES CORPORATION	Dec 2, 2003	Dec 2, 2003	0	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:159035:AZ:2021-10-06	Oct 6, 2021	Dec 2, 2021	CHANDLER, AZ	Firm change

Relationships

Registered with (6)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Dec 2, 2021 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 23, 2011 to Oct 6, 2021factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 17, 2007 to Jan 29, 2008factForm ADV
→ 1ST GLOBAL ADVISORS INCRegistered adviserregistration: previous registration
Nov 4, 2004 to Oct 31, 2007factForm ADV
→ MONY SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 2, 2003 to Nov 5, 2004factForm ADV
→ TRUSTED SECURITIES ADVISORS CORP.Registered adviserregistration: previous registration
Sep 11, 2003 to Dec 2, 2003factForm ADV

Dated events

No dated event names this entity yet.