Unclaimed Profile

Cari Anne Smith

WESTERN WEALTH MANAGEMENT LLC·GOLDEN, Colorado

SIE, Series 7, Series 24, Series 63, Series 66Clean record20 years registeredWESTERN WEALTH MANAGEMENT LLC

440 INDIANA ST., SUITE 100, GOLDEN, CO 80401CRD# 2690643Firm CRD# 283545

Profile Verification

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

Identity

Cari Anne Smith · GOLDEN, CO

Registration

CRD #2690643 · WESTERN WEALTH MANAGEMENT LLC · 20 years registered

Brand Profile

Not yet started

Career History

PRIVATE ADVISOR GROUP, LLC

Oct 2020 – present

WESTERN WEALTH MANAGEMENT LLC

May 2019 – Oct 2020

Golden, CO

LPL FINANCIAL LLC

May 2019 – Sep 2022

GOLDEN, CO

LPL FINANCIAL LLC

Oct 2012 – May 2019

GOLDEN, CO

LPL FINANCIAL LLC

May 2006 – Apr 2012

GOLDEN, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · May 8, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WESTERN WEALTH MANAGEMENT LLC

CRD 283545 · SEC 801-107762

AUM

$3.3B

Regulatory assets under management

Employees

112

13,833 client accounts

Services offered by WESTERN WEALTH MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at WESTERN WEALTH MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Cari Anne Smith offer?

Cari Anne Smith specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in GOLDEN, Colorado for a consultation.

What are Cari Anne Smith's credentials?

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

Where is Cari Anne Smith located?

Cari Anne Smith is based in GOLDEN, Colorado, working with WESTERN WEALTH MANAGEMENT LLC. Their office serves clients in the GOLDEN metropolitan area and surrounding communities.

How does Cari Anne Smith charge for services?

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

How large is WESTERN WEALTH MANAGEMENT LLC?

WESTERN WEALTH MANAGEMENT LLC has approximately 112 employees and manages $3.3B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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