C••••••••• W•••• S••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedPhoeniz, Azdual registrantIAPD 2898003

Feed of 09/14/2026

Also filed as Christopher W Smith

At current firm

0 y

since Dec 2, 2025

In the industry

26 y

since Jan 13, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Dec 2, 2025 · Phoeniz, Az
E••••• J•••• national BD
May 22, 2023 to Jun 21, 2024 · Peoria, Az
C•••••• S••••• • C••• I••• national BD
Jul 30, 2020 to Dec 19, 2022 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Dec 3, 2014 to Apr 17, 2019 · Phoenix, Az
U••• F•••••••• P••••••• S••••••• former
Mar 4, 2010 to Jan 21, 2015 · Phoenix, Az
T• A••••••••• I••• former
Jul 31, 2008 to Nov 3, 2009 · Scottsdale, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 31, 2008 to Nov 3, 2009 · Scottsdale, Az
S•••••••• A••••••• L•• national BD
May 3, 2005 to Jul 18, 2008 · Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 21, 2024, registered Dec 2, 2025 (529 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to E••••• J••••
left Dec 19, 2022, registered May 22, 2023 (154 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left Apr 17, 2019, registered Jul 30, 2020 (470 days) · Affiliated broker-dealer or bank to another
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 21, 2015, registered Dec 3, 2014 (-49 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 3, 2009, registered Jul 31, 2008 (-460 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to U••• F•••••••• P••••••• S•••••••
left Nov 3, 2009, registered Mar 4, 2010 (121 days) · Other
S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 18, 2008, registered Jul 31, 2008 (13 days) · Other

Signals

C••••••••• W•••• S•••• left E••••• J•••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-12-02)
Jun 21, 2024 · Advisor changed firm · fact
C••••••••• W•••• S•••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2023-05-22)
Dec 19, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address