RS
Richard A. Smith
SMITH FINANCIAL INVESTMENT ADVISORS
Kokomo, IN 46902
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CRD#: 1353025
RS
Professional summary
Richard Allen Smith is a registered financial advisor currently at SMITH FINANCIAL INVESTMENT ADVISORS, INC. located in Kokomo, Indiana.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 62 and Series 6 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.
1. NAME OF BUSINESS:SMITH FINANCIAL/ROCKE SMITH, 1830 S. PLATE STREET, KOKOMO, IN 46902.765-459-4111. NO EMAIL. THIS IS AN LLC. NATURE OF BUSINESS:INSURANCE SALES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:PRESIDENT. DUTIES:SALES. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:87. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:87. DATE STARTED:1985. FINANCIAL INTEREST IN THIS BUSINESS:YES, OWNER. HOW COMPENSATED:NET INCOME FROM BUSINESS; PRIMARILY CONSISTS OF COMMISSION SALES.
2.SMITH FINANCIAL INVESTMENT ADVISORS, INC. 1830 S. PLATE STREET, KOKOMO, IN 46902. 765-459-4111. NO EMAIL. THIS BUSINESS IS A CORPORATION. NATURE OF BUSINESS:REGISTERED INVESTMENT ADVISOR. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:PRESIDENT,INVESTMENT ADVISOR REPRESENTATIVE. DUTIES:MEETINGS WITH CLIENTS, FINANCIAL PLAN PREPARATION. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:87. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:87. DATE STARTED:6/2010. FINANCIAL INTEREST IN THIS BUSINESS:YES, OWNER. HOW COMPENSATED:NET PROFIT OF BUSINESS, WHICH IS PRIMARILY INVESTMENT ADVISORY AND FINANCIAL PLANNING FEES.
3. NAME OF BUSINESS:COMMUNITY FOUNDATION OF HOWARD COUNTY, INC. 215 W. SYCAMORE, KOKOMO, IN 46902. 765-454-7298. NO EMAIL. THIS BUSINESS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:COMMUNITY FOUNDATION. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:BOARD MEMBER, FINANCE COMMITTEE MEMBER. DUTIES:VOTE ON FOUNDATION ISSUES, ASSIST IN INVESTMENT DECISION MAKING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:3. DATE STARTED:1/1997. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE.
4. NAME OF BUSINESS:YMCA OF KOKOMO CAPITAL CAMPAIGN COMMITTEE, 200 N. UNION ST, KOKOMO, IN 46901 765-457-4447, THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:YOUTH SERVICES, FAMILY SERVICES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:COMMITTEE MEMBER. DUTIES:FUNDRAISING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Allen 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®
NoneExperience
Current
May 17, 2011 - Present
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
Office #1: 1830 S. Plate St., Kokomo, IN 46902RIA
CRD#: 154022
Kokomo, IN
Past
January 13, 2014 - December 31, 2018
MERCAP SECURITIES, LLC
BD
CRD#: 156607
ATLANTA, GA
Past
August 31, 2010 - January 10, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
KOKOMO, IN
Past
November 19, 2008 - September 1, 2010
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
KOKOMO, IN
Past
November 18, 2008 - September 1, 2010
VALMARK SECURITIES, INC.
BD
CRD#: 31243
KOKOMO, IN
Past
January 4, 2005 - November 20, 2008
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
KOKOMO, IN
Past
June 13, 2000 - November 20, 2008
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
KOKOMO, IN
Past
July 25, 1985 - June 14, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 25, 1985 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
BD
CRD#: 3963
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".
SF
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
IDL ADVISORS, INC. | SMITH FINANCIAL INVESTMENT ADVISORS, INC.
CRD#: 154022 / SEC#: 801-71492
RIA
Registered Investment Advisory firm - (6/15/2010 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.Highlighted states indicate IAR registrations
IAR
Indiana(5/17/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/29/1988
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Current Firm
SF
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
IDL ADVISORS, INC. | SMITH FINANCIAL INVESTMENT ADVISORS, INC.
CRD#: 154022 / SEC#: 801-71492
RIA
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Contact information
Main Address
1830 S. Plate St., Kokomo, IN 46902
Mailing Address
P.o. Box 2229, Kokomo, IN 46904-2229
Phone number
(765) 459-4111
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 613 |
| AUM (Assets Under Management) | $ 378,041,360 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/28/2025 | ||
| 02/28/2024 | ||
| 02/21/2023 |
Red Flags
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Company Information
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
CRD#: 154022Kokomo, IN 46902TRUST BUT VERIFY
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