Connor Smith has been an investment adviser representative at Juncture Wealth Strategies since September 2018, and is not listed among the firm’s executive officers or direct owners. Connor Smith holds a Bachelor of Business Administration in Finance from Ohio University.
Juncture Wealth Strategies, LLC is a Scottsdale, AZ firm with $474M under management, 462 clients and 9 advisers across 3 offices, as of its March 2026 filing.
Connor Smith is Senior Wealth Advisor of Juncture Wealth Strategies. He focuses on retirement, estate and tax planning strategies for individual and corporate clients. He has been working in the finance industry since 2014.
Connor Smith’s longest registration is the current one, 8 years at Juncture Wealth Strategies since 2018. Before joining Juncture Wealth Strategies in 2018, Connor Smith was registered through Heritage Wealth Management, LLC and Juncture Wealth Strategies, LLC.
- – present · 8 yearsScottsdale, AZ · Adviser representative · Firm CRD 298110
- Heritage Wealth Management, LLC– · 1 yearLancaster, OH · Adviser representative · Firm CRD 287909
- Juncture Wealth Strategies, LLC– · 1 yearLancaster, OH · Adviser representative · Firm CRD 287908
- Ameriprise Financial Services, Inc.– · 1 yearGlen Allen, VA · Adviser representative · Firm CRD 6363
Professional designations
Listed by Juncture Wealth Strategies
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Connor Smith is registered as an investment adviser representative in 2 states. The first approvals date from September 2018; the most recent is Arizona, in October 2018.
- ArizonaSince 22 October 2018
- OhioSince 14 September 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 11 December 2015 |
| Series 7 | General Securities Representative Examination | 5 November 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Connor Pierce Smith
- CRD
- 6539351
- Firm
- Juncture Wealth Strategies · CRD 298110
- Office
- 8777 E. VIA DE VENTURA, SUITE 120, Scottsdale, AZ 85258
- Registration
- Investment adviser registration
- In the industry since
- November 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- juncturewealth.com
Where does Connor Smith work?
Connor Smith is an investment adviser representative registered through Juncture Wealth Strategies, LLC since September 2018, and is not listed among the firm’s executive officers or direct owners.
Is Connor Smith a financial advisor?
Yes. Connor Smith has a current investment-adviser registration in Arizona and Ohio, through Juncture Wealth Strategies since September 2018.
How many years of experience does Connor Smith have?
Connor Smith has 10 years in the financial industry, since November 2015, across 4 adviser firms.
What exams has Connor Smith passed?
Connor Smith has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2015. FINRA credited Connor Smith with the SIE, which began in October 2018.
Where did Connor Smith work before Juncture Wealth Strategies?
Before Juncture Wealth Strategies, Connor Smith was registered through Ameriprise Financial Services, Inc., January 2016 to June 2017.
Where is Connor Smith based?
Connor Smith’s registered office is in Scottsdale, AZ.
Is Connor Smith registered with FINRA?
No. Connor Smith has no current broker registration.
Is Connor Smith a CFP?
Juncture Wealth Strategies lists Connor Smith with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Connor Smith’s record?
Search CRD 6539351 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Connor Smith’s full registration record.
