Ray E. Smith

TFB ADVISORS

Stillwater, OK

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CRD#: 1266515

Professional summary

Ray Edward Smith JR is a registered financial advisor currently at TFB ADVISORS, LLC located in Stillwater, Oklahoma and AMERITAS INVESTMENT COMPANY, LLC located in Stillwater, Oklahoma.

Ray is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ray has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

RAY SMITH WEALTH MANAGEMENT; SAME AS BRANCH; INV REL; SELL LIFE AND HEALTH INSURANCE; OWNER; START DATE=01/2016; HRS/MO=40; TRADING HRS/MO=40; SOLICIT EXSISTING CLIENTS, PAID BY COMMISSIONS; * TAX FAVORED BENEFITS; SAME AS BRANCH; INV REL; SOLICIT SECURITIES, LIFE AND HEALTH INSURANCE; FINANCIAL ADVISOR; START DATE=01/2016; HRS/MO=40; TRADING HRS/MO=40; SOLICIT SECURITIES, LIFE AND HEALTH INSURANCE * NAIFA; same as branch; non-inv rel; trade association; Local Affiliate Member; start date=02/1975; hrs/mo=3; trading hrs/mo=3; coordinate continuing education * TFB Advisors, LLC; same as branch; inv rel; Independent RIA; Investment Adviser Representative; start date=08/2022; hrs/mo=40; trading hrs/mo=40; IAR of Independent RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

August 10, 2022 - Present

TFB ADVISORS, LLC

RIA

CRD#: 321870

Stillwater, OK

Current

May 29, 1984 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 808 S Main St Ste 307, Stillwater, OK 74074-4124

CRD#: 14869

Stillwater, OK

Past

November 1, 2021 - June 30, 2023

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

Stillwater, OK

Past

January 13, 1997 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

LINCOLN, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(1/5/2009)

Colorado
(11/18/2019)

Florida
(2/10/2014)

Indiana
(7/1/2003)

Iowa
(5/11/2012)

Kansas
(5/30/2003)

Kentucky
(2/1/2023)

Missouri
(12/16/2020)

Ohio
(1/21/2005)

Oklahoma
(7/16/1984)

IAR

Oklahoma
(8/10/2022)

Texas
(5/12/2004)

IAR

Texas
(8/10/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TFB ADVISORS, LLC

CRD#: 321870 / SEC#: 801-126142

RIA

Registered Investment Advisory firm - (7/21/2022 Approved)

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Contact information

Main Address

4801 West 110th Street Suite 200, Overland Park, KS 66211

Mailing Address

Phone number

(913) 648-5526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR TFB ADVISORS, LLC (9/24/2025)

Regulatory assets under management

Total Number of Accounts	3,047
AUM (Assets Under Management)	$ 859,559,702

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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Firm Stability Insights

Ray E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

Primary Firm SEC Registration

TFB ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1996

Series 63

Date: 6/18/1984

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Series 24

Date: 8/18/1995

FINRA

Current Firm

TFB ADVISORS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TFB ADVISORS, LLC

TRUST BUT VERIFY

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