Robert C. Smith

RCS WEALTH MANAGEMENT

CENTENNIAL, CO 80122

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CRD#: 1578452

Professional summary

Robert Clark Smith, who also goes by Bob Smith, Robert C Smith, is a registered financial advisor currently at RCS WEALTH MANAGEMENT located in Centennial, Colorado.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Robert has worked at 13 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Smith | Robert C 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.the name of the other business: Seniors Only of Colorado 2.whether the business is investment-related: No - Insurance agency. 3.the address of the other business: 3989 E. Arapahoe Rd. Suite 210 Centennial, CO 80122 4.the nature of the other business: Insurance related. Life and annuity sales 5.your position, title, or relationship with the other business: President 6.the start date of your relationship: Oct 2003 7.the approximate number of hours/month you devote to the other business: 80 hours per month 8.the number of hours you devote to the other business during securities trading hours: 2 hours 9.briefly describe your duties relating to the other business. I help clients with their overall financial plan and see if annuities or life insurance are a good fit. If they are a good fit, we will open new accounts and once the business is place we have an ongoing responsibility to service those accounts. We will do reviews with the life and annuities to make sure they are meeting the desired goals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Clark 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

December 20, 2023 - Present

RCS WEALTH MANAGEMENT

Office #1: 3989 E. Arapahoe Road Suite 210, Centennial, CO 80122

RIA

CRD#: 328114

CENTENNIAL, CO

Past

September 29, 2022 - July 26, 2024

MARIPAU WEALTH MANAGEMENT LLC

RIA

CRD#: 311934

Centennial, CO

Past

October 4, 2016 - September 29, 2022

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Centennial, CO

Past

January 21, 2015 - October 4, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Denver, CO

Past

September 30, 2002 - December 9, 2003

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

February 8, 2002 - September 30, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

November 30, 2000 - February 12, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 31, 2000 - December 18, 2000

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

January 19, 1999 - February 2, 2000

KFS BD, INC.

CRD#: 490

OMAHA, NE

Past

September 12, 1996 - January 7, 1999

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

June 6, 1994 - March 13, 1995

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

April 18, 1988 - June 1, 1994

F.N. WOLF & CO., INC.

CRD#: 13051

Past

June 23, 1987 - July 25, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

June 23, 1987 - March 26, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Colorado
(12/20/2023)

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

IAR

Series 65

Date: 11/18/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/14/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/1993

General Securities Principal Examination

Current Firm

RCS WEALTH MANAGEMENT

RCS WEALTH MANAGEMENT | RCS WEALTH MANAGEMENT CORP

CRD#: 328114 / SEC#:

Colorado

Registered Investment Advisory firm - (12/20/2023 Approved)

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Contact information

Main Address

3989 E. Arapahoe Road Suite 210, Centennial, CO 80122

Mailing Address

Phone number

(303) 777-5500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	99
AUM (Assets Under Management)	$ 21,772,640

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Robert C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Clark Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARIPAU WEALTH MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

HORTER INVESTMENT MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

SCHNEIDER SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WEDBUSH SECURITIES INC.

KFS BD, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

AMERICAN FRONTEER FINANCIAL CORPORATION

F.N. WOLF & CO., INC.

SHERWOOD CAPITAL, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2014

Series 63

Date: 7/14/1987

Series 7

Date: 6/20/1987

Series 24

Date: 5/27/1993

Current Firm

RCS WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RCS WEALTH MANAGEMENT

TRUST BUT VERIFY

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