RS
Robert I. Smith
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CRD#: 1374301
RS
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.
Robert Irwin Smith, who also goes by Bob Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Smith
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) : ACC Tax Sale Properties, LLC , 4064 Robinwood Cove, Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/17/2005 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (2) : American Arbitrage Associates LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 08/10/2015 HPM: 2-10 HPM trd hrs:: 0-1 DOD: AAA LLC was formed in 2015 to add aNther buyer to our group at State of Mississippi delinquent tax sales. I'm involved in the the preparation of bi annual MS tax sales & filing the annual report with the State. Neither of which takes much time. (3) : Artemis Taylor LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 08/05/2010 HPM: 2-10 HPM trd hrs:: 0-1 DOD: Artemis Taylor was formed in 2010 to add aNther buyer in our group to buy in the State of MS delinquent tax sales. \nI'm involved in the preparation of bi annual MS tax sales & filing the annual reports. Neither of which takes much time. (4) : Boaz Tax Sale Properties LLC , 4064Robinwoodcove, Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/15/2005 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (5) : Dionysus LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 03/03/2003 HPM: 2-10 HPM trd hrs:: 0-1 DOD: Dionysus LLC was formed in 2003 to add aNther buyer in our group to buy at State of MS delinquent tax sales. I'm involved in the preparation of bi annual MS tax sales & filing the annual report. Neither of which takes much time. (6) : GJ Tax Sale Properties LLC , 4064 Robinwoodcove, Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/15/2005 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (7) : High Sierra Tax Sale Properties, LLC , 4064 Robinwood Cove, Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/17/2005 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (8) : Holly Nichols LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 08/10/2015 HPM: 2-10 HPM trd hrs:: 0-1 DOD: Holly Nichols was formed in 2015 to add aNther buyer in our group at State of Mississippi delinquent tax sales. I am involved in preparation of bi annual MS tax sales & filing the annual report. Neither of which takes much time. (9) : On Point LLC , 4064 Robinwood Cove, Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/01/2001 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (10) : Publican Asset Mgt LLC , 423 Grandview St , Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 08/05/2010 HPM: 2-10 HPM trd hrs:: 0-1 DOD: PAM LLC was formed in 2010 to add aNther buyer to our group to purchase delinquent property tax bills in State of MS. I'm involved in the preparation of bi annual MS tax sales & filing the annual report. Neither of which takes much time. (11) : S&S Properties LLC , 4064 Robinwood Cove, Memphis , TN, 38111, P/P Inv P/T:I/R: Y Start Date: 07/01/1997 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (12) : Sinecure Investments LLC , 4064 Robinwood Cove , Memphis, TN, 38111, P/P Inv P/T:I/R: Y Start Date: 03/01/1998 HPM: 2-10 HPM trd hrs:: 0-1 DOD: (13) : Symbiotic Partners LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 08/01/2007 HPM: 2-10 HPM trd hrs:: 0-1 DOD: Symbiotic LLC was formed 8/07 to have an additional buyer of delinquent property tax bills in State of Mississippi. There are 2 tax sales per year & I assist with the planning of the tax sales & file the Annual Report with Sec of State. Neither of which takes much time. (14) : WAJ LLC , 423 Grandview St, Memphis, TN, 38111, BOP/T:Officer - Secretary I/R: Y Start Date: 03/12/2008 HPM: 2-10 HPM trd hrs:: 0-1 DOD: WAJ was formed in 2008 to add aNther buyer in our group to purchase delinquent property tax bills in the State of MS.\nI'm involved in the preparation of bi annual MS tax sales & filing the Annual Report with the State. Neither of which takes much time.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
September 26, 2012 - January 23, 2024
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MEMPHIS, TN
Past
September 26, 2012 - January 23, 2024
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MEMPHIS, TN
Past
January 9, 2004 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MEMPHIS, TN
Past
July 27, 1988 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
March 3, 1986 - July 14, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
BD
CRD#: 16493
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".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
