Jeremy Windell Smith

Seros Financial, LLC

18 Years of Experience

1 DisclosureSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net WorthBusiness Owners

Seros Financial, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

5 advisors

Number of Clients

534 clients

Average Client Portfolio

$564K average

Assets Under Management

$301.1M

Fee Structure

Minimum Investment:$500K

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $500K	1.90%
$5K - $1000K	1.85%
$1.0M - $2.0M	1.65%
$2M+	1.60%

Fees are negotiable.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Location

2141 East Broadway Rd., Suite 220, Tempe, AZ, 85282

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2024

Denied

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Jeremy is the owner of Seros Financial LLC, a registered investment advisor, and Seros Insurance, providing insurance services. He also has ownership or management roles in several real estate and business-related entities, and is an assistant football coach.

Employment History

Current Registrations

Seros Financial, LLC

March 2013 - Present · 12 yrs 11 mos

Previous Registrations

United Planners' Financial Services of America a Limited PartnerBroker

June 2013 - November 2025 · 12 yrs 5 mos

Newmark Capital Management, LLC

June 2010 - December 2020 · 10 yrs 6 mos

First Financial Equity Corporation

May 2009 - July 2013 · 4 yrs 2 mos

First Financial Equity CorporationBroker

May 2009 - July 2013 · 4 yrs 2 mos

Sagepoint Financial, INC.Broker

May 2008 - May 2009 · 1 yr

Alliance Financial Group, INC.

April 2007 - May 2009 · 2 yrs 1 mo

State Registrations2 states

AZTX

Advisor

Exams

No exam information available for this advisor.