Ralph E. Smith

NAUTICAL STAR FINANCIAL GROUP LLC

Weatherford, TX

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CRD#: 1034694

Professional summary

Ralph Edward Smith is a registered financial advisor currently at NAUTICAL STAR FINANCIAL GROUP LLC located in Weatherford, Texas.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Ralph has worked at 12 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RALPH SMITH FINANCIAL-INSURANCE SALES 6300 RIDGLEA PLACE, SUITE 908 FORT WORTH ,TX AGENT- 5/15/2010 I OFFER AND SELL TERM AND PERMANENT LIFE INSURANCE POLICIES TO CLIENTS. 5-10% TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Edward Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2024 - Present

NAUTICAL STAR FINANCIAL GROUP LLC

RIA

CRD#: 316426

Weatherford, TX

Past

January 2, 2014 - December 31, 2023

SMITH CAPITAL MANAGEMENT

RIA

CRD#: 169788

WEATHERFORD, TX

Past

December 7, 2012 - December 31, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

FORT WORTH, TX

Past

December 7, 2012 - December 31, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

FORT WORTH, TX

Past

November 2, 2009 - December 7, 2012

INVESTORS SECURITY COMPANY, INC.

RIA

CRD#: 2331

FORT WORTH, TX

Past

November 2, 2009 - December 7, 2012

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

FORT WORTH, TX

Past

July 17, 2008 - October 26, 2009

QA3 FINANCIAL CORP.

CRD#: 14754

FORT WORTH, TX

Past

July 7, 2008 - October 26, 2009

QA3 FINANCIAL LLC

RIA

CRD#: 104957

FORT WORTH, TX

Past

October 10, 2007 - November 11, 2009

SPECTRUM FINANCIAL INC

RIA

CRD#: 105618

VIRGINIA BEACH, VA

Past

May 8, 2006 - December 31, 2006

LIBERTY CAPITAL MANAGEMENT

RIA

CRD#: 107624

FORT WORTH, TX

Past

June 9, 1999 - December 31, 2006

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

FORTH WORTH, TX

Past

May 15, 1990 - June 4, 1999

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

December 3, 1987 - May 17, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 7, 1982 - December 15, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/26/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/1982

General Securities Representative Examination

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

CRD#: 316426 / SEC#:

Idaho

Registered Investment Advisory firm - (6/20/2023 Approved)

Nevada

Registered Investment Advisory firm - (10/17/2024 Approved)

Texas

Registered Investment Advisory firm - (11/19/2021 Approved)

Washington

Registered Investment Advisory firm - (12/17/2021 Approved)

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Contact information

Main Address

511 East John Carpenter Freeway Suite 500, Las Colinas, TX 75062

Mailing Address

Phone number

(800) 385-1804

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 38,515,741

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Ralph E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Edward Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMITH CAPITAL MANAGEMENT

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTORS SECURITY COMPANY, INC.

INVESTORS SECURITY COMPANY, INC.

QA3 FINANCIAL CORP.

QA3 FINANCIAL LLC

SPECTRUM FINANCIAL INC

LIBERTY CAPITAL MANAGEMENT

INVESTORS SECURITY COMPANY, INC.

NATHAN & LEWIS SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/26/1982

Series 7

Date: 2/20/1982

Current Firm

NAUTICAL STAR FINANCIAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NAUTICAL STAR FINANCIAL GROUP LLC

TRUST BUT VERIFY

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