Aaron Smith has been Chief Compliance Officer of Smith Financial Investment Advisors since May 2010, is a control person of the firm and directly owns under 5% of it.
Smith Financial Investment Advisors, Inc. is a Kokomo, IN firm with $457M under management, 159 clients and 5 advisers in one office, as of its March 2026 filing.
Aaron Smith’s longest registration is the current one, 15 years at Smith Financial Investment Advisors since 2011. Before joining Smith Financial Investment Advisors in 2011, Aaron Smith was registered through Valmark Advisers, Inc. and NFP Securities, Inc.
- Valmark Advisers, Inc.– · 1 yearKokomo, IN · Adviser representative · Firm CRD 108050
- NFP Securities, Inc.– · 4 yearsKokomo, IN · Adviser representative · Firm CRD 42046
Investment adviser representative registrations
Aaron Smith is registered as an investment adviser representative in Indiana, since May 2011.
- IndianaSince 17 May 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 June 2004 |
| Series 24 | General Securities Principal Examination | 9 October 2000 |
| Series 7 | General Securities Representative Examination | 18 September 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 August 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Aaron Taylor Smith
- CRD
- 4233192
- Firm
- Smith Financial Investment Advisors · CRD 154022
- Role
- Chief Compliance Officer
- Office
- 1830 S. PLATE ST., Kokomo, IN 46902
- Registration
- Investment adviser registration
- In the industry since
- September 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Aaron Smith work?
Aaron Smith has been Chief Compliance Officer of Smith Financial Investment Advisors, Inc. since May 2010, and is a control person of the firm.
Is Aaron Smith a financial advisor?
Yes. Aaron Smith has a current investment-adviser registration in Indiana, through Smith Financial Investment Advisors since May 2011.
How many years of experience does Aaron Smith have?
Aaron Smith has 26 years in the financial industry, since September 2000, across 3 adviser firms.
What exams has Aaron Smith passed?
Aaron Smith has passed 4 licensing exams: the Series 63, Series 7, Series 24 and Series 66. The earliest, the Series 63, was passed in August 2000. FINRA credited Aaron Smith with the SIE, which began in October 2018.
Where did Aaron Smith work before Smith Financial Investment Advisors?
Before Smith Financial Investment Advisors, Aaron Smith was registered through Valmark Advisers, Inc., August 2009 to September 2010; NFP Securities, Inc., July 2004 to November 2008.
Where is Aaron Smith based?
Aaron Smith’s registered office is in Kokomo, IN.
Is Aaron Smith registered with FINRA?
No. Aaron Smith has no current broker registration.
How can I verify Aaron Smith’s record?
Search CRD 4233192 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Aaron Smith’s full registration record.