Richard H. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Hayden Smith, CIMA®, who also goes by Rick Smith, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2016 - January 2, 2025
TRUIST ADVISORY SERVICES, INC.
August 15, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 15, 2013 - January 2, 2025
TRUIST INVESTMENT SERVICES, INC.
March 23, 2011 - July 30, 2013
CITIGROUP GLOBAL MARKETS INC.
March 23, 2011 - July 30, 2013
CITIGROUP GLOBAL MARKETS INC.
March 31, 2009 - March 29, 2011
LPL FINANCIAL LLC
March 31, 2009 - March 29, 2011
LPL FINANCIAL LLC
January 27, 2006 - March 3, 2009
CHOREO, LLC
January 27, 2006 - March 3, 2009
BIRCHTREE FINANCIAL SERVICES LLC
May 20, 2003 - January 30, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
September 22, 2000 - January 30, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
August 14, 2000 - October 10, 2000
UBS FINANCIAL SERVICES INC.
November 11, 1996 - August 14, 2000
J.C. BRADFORD & CO.
October 10, 1994 - November 14, 1996
CITIGROUP GLOBAL MARKETS INC.
January 9, 1985 - October 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 1983 - May 9, 1984
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
