Russell B. Smith

GUARDIAN WEALTH ADVISORS

Raleigh, NC 27609

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CRD#: 1682870

Professional summary

Russell Brenton Smith, AIF®, CFP® is a registered financial advisor currently at GUARDIAN WEALTH ADVISORS, LLC located in Raleigh, North Carolina.

Russell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Russell has worked at 9 firms and has passed the Series 66, Series 63, Series 7 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.

STRATEGIC FINANCIAL MANAGEMENT, INC; INVESTMENT RELATED; INSURANCE REP; PROVIDING INSURANCE SALES AND SERVICE; 1007 SLATER RD, SUITE 200, DURHAM, NC 27703; 8/1/2007; 5 HRS/MONTH DURING TRADING HOURS; LTC & FIXED ANUITY SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Brenton Smith'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

May 13, 2022 - Present

GUARDIAN WEALTH ADVISORS, LLC

Office #1: 4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

RIA

CRD#: 305412

Raleigh, NC

Past

January 4, 2019 - May 11, 2022

APTUS CAPITAL ADVISORS, LLC

RIA

CRD#: 167626

RALEIGH, NC

Past

July 6, 2006 - December 16, 2011

CW SECURITIES, LLC

CRD#: 124496

DURHAM, NC

Past

March 24, 2005 - February 19, 2019

GORDON ASSET MANAGEMENT, LLC

RIA

CRD#: 118471

DURHAM, NC

Past

July 26, 2001 - July 7, 2006

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

DURHAM, NC

Past

January 25, 2001 - August 13, 2001

INVESMART SECURITIES, LLC

CRD#: 104168

PITTSBURGH, PA

Past

May 4, 1998 - May 1, 2001

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

November 12, 1992 - May 2, 1996

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 10, 1991 - September 30, 1992

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

August 19, 1987 - January 11, 1991

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 25, 1987 - December 31, 1988

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

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".

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 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

North Carolina
(5/13/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/9/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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Contact information

Main Address

4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

Mailing Address

Phone number

(919) 874-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,683
AUM (Assets Under Management)	$ 2,051,517,525

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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Advisor Monitoring

Firm Stability Insights

Russell B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Russell Brenton Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

APTUS CAPITAL ADVISORS, LLC

CW SECURITIES, LLC

GORDON ASSET MANAGEMENT, LLC

CAPITAL INVESTMENT GROUP, INC.

INVESMART SECURITIES, LLC

CAPITAL INVESTMENT GROUP, INC.

PRINCIPAL SECURITIES, INC.

CAPITAL INVESTMENT GROUP, INC.

1717 CAPITAL MANAGEMENT COMPANY

LOWRY FINANCIAL SERVICES CORPORATION

Primary Firm SEC Registration

GUARDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/9/2001

Series 63

Date: 6/24/1987

Series 7

Date: 7/27/2000

Series 6

Date: 6/24/1987

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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