Unclaimed Profile

Jean Albertha Smith

WALPOLE FINANCIAL ADVISORS, LLC·GOLETA, California

Series 6, Series 63Clean record24 years registeredWALPOLE FINANCIAL ADVISORS, LLC

70 SANTA FELICIA DRIVE, GOLETA, CA 93117CRD# 4266275Firm CRD# 135834

Profile Verification

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

Identity

Jean Albertha Smith · GOLETA, CA

Registration

CRD #4266275 · WALPOLE FINANCIAL ADVISORS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WALPOLE FINANCIAL ADVISORS, LLC

WALPOLE FINANCIAL ADVISORS, LLC

Oct 2001 – Jan 2024

GOLETA, CA

Registrations & Exams

FINRA examinations passed

Series 6

Series 63

Registration record

First registered · October 18, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WALPOLE FINANCIAL ADVISORS, LLC

CRD 135834 · SEC 801-79284

AUM

$281M

Regulatory assets under management

Employees

457 client accounts

Services offered by WALPOLE FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WALPOLE FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Jean Albertha Smith offer?

Jean Albertha Smith specializes in Financial Planning, Investment Management, Wealth Management.

What are Jean Albertha Smith's credentials?

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

Where is Jean Albertha Smith located?

Jean Albertha Smith is based in GOLETA, California, last registered with WALPOLE FINANCIAL ADVISORS, LLC.

How does Jean Albertha Smith charge for services?

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

How large is WALPOLE FINANCIAL ADVISORS, LLC?

WALPOLE FINANCIAL ADVISORS, LLC has approximately 7 employees and manages $281M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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