John Smitka has been Chief Compliance Officer of Signal Ridge Capital Partners since March 2013, is a control person of the firm and directly owns under 5% of it. John Smitka holds an MBA in finance and securities analysis from Boston College Carroll School of Management and a Law degree from Boston College. John Smitka studied at Colgate University.
Signal Ridge Capital Partners, LLC is a Framingham, MA firm with $114M under management, 95 clients and 3 advisers in one office, as of its September 2026 filing.
John F. Smitka, Jr. is Chief Compliance Officer of Signal Ridge Capital Partners. His primary responsibilities include overseeing compliance efforts, as well as research efforts and monitoring investments made on behalf of clients. He joined Signal Ridge in 2013; before that he operated Penguin Global Wealth Management, LLC, in part as a sub-advisor to Tiedemann & Associates Investment Advisors.
John Smitka’s longest registration is the current one, 18 years at Penguin Global Wealth Management LLC since 2008. Before joining Signal Ridge Capital Partners in 2013, John Smitka was registered through Tiedemann & Associates Investment Advisors, Inc. and Banc of America Investment Services, Inc.
- – present · 13 yearsFramingham, MA · Adviser representative · Firm CRD 167576
- Penguin Global Wealth Management LLCAlso current– present · 18 yearsWellesley, MA · Adviser representative · Firm CRD 143802
- Tiedemann & Associates Investment Advisors, Inc.– · 11 yearsWeston, MA · Adviser representative · Firm CRD 128873
- Banc of America Investment Services, Inc.– · 1 yearCambridge, MA · Adviser representative · Firm CRD 16361
Investment adviser representative registrations
John Smitka is registered as an investment adviser representative in Massachusetts, since April 2008.
- MassachusettsSince 30 April 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 28 June 2005 |
| Series 7 | General Securities Representative Examination | 10 May 2005 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Francis Smitka
- CRD
- 4925754
- Firm
- Signal Ridge Capital Partners · CRD 167576
- Role
- Chief Compliance Officer
- Office
- 434 OLD CONNECTICUT PATH, SUITE 3A, Framingham, MA 01701
- Registration
- Investment adviser registration
- In the industry since
- February 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- signalridgecp.com
Where does John Smitka work?
John Smitka has been Chief Compliance Officer of Signal Ridge Capital Partners, LLC since March 2013, and is a control person of the firm.
Is John Smitka a financial advisor?
Yes. John Smitka has a current investment-adviser registration in Massachusetts, through Signal Ridge Capital Partners since June 2013.
How many years of experience does John Smitka have?
John Smitka has 19 years in the financial industry, since February 2007, across 4 adviser firms.
What exams has John Smitka passed?
John Smitka has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2005.
Where did John Smitka work before Signal Ridge Capital Partners?
Before Signal Ridge Capital Partners, John Smitka was registered through Banc of America Investment Services, Inc., May 2006 to May 2007.
Where is John Smitka based?
John Smitka’s registered office is in Framingham, MA.
Is John Smitka registered with FINRA?
No. John Smitka has no current broker registration.
How can I verify John Smitka’s record?
Search CRD 4925754 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Smitka’s full registration record.
