Unclaimed Profile

Jeremy Windell Smith

SEROS FINANCIAL, LLC·TEMPE, Arizona

SIE, Series 7, Series 63, Series 6519 years registeredSEROS FINANCIAL, LLC

2141 EAST BROADWAY RD., TEMPE, AZ 85282CRD# 5058621Firm CRD# 166808

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Jeremy Windell Smith · TEMPE, AZ

Registration

CRD #5058621 · SEROS FINANCIAL, LLC · 19 years registered

Brand Profile

Not yet started

Career History

SEROS WEALTH PARTNERS

Mar 2013 – present

NEWMARK CAPITAL MANAGEMENT, LLC

Jun 2010 – Dec 2020

TEMPE, AZ

FIRST FINANCIAL EQUITY CORPORATION

May 2009 – Jul 2013

SCOTTSDALE, AZ

ALLIANCE FINANCIAL GROUP, INC.

Apr 2007 – May 2009

MESA, AZ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · April 11, 2007

Years registered · 19

Disclosure History

2024Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SEROS FINANCIAL, LLC

CRD 166808 · SEC 801-120609

AUM

$261M

Regulatory assets under management

Employees

890 client accounts

Services offered by SEROS FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SEROS FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Jeremy Windell Smith offer?

Jeremy Windell Smith specializes in Financial Planning, Investment Management. Contact their office in TEMPE, Arizona for a consultation.

What are Jeremy Windell Smith's credentials?

Jeremy Windell Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Jeremy Windell Smith located?

Jeremy Windell Smith is based in TEMPE, Arizona, working with SEROS FINANCIAL, LLC. Their office serves clients in the TEMPE metropolitan area and surrounding communities.

How does Jeremy Windell Smith charge for services?

Jeremy Windell Smith's firm is compensated through percentage of aum, hourly charges, fixed fees, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SEROS FINANCIAL, LLC?

SEROS FINANCIAL, LLC has approximately 4 employees and manages $261M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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