Darrell D. Smith

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CRD#: 1685641

Professional summary

Darrell Duane Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Darrell is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Darrell had worked at 6 firms, which includes BRADFORD FINANCIAL CENTER, CETERA ADVISORS LLC, NEXT FINANCIAL GROUP INC., ADVANTAGE CAPITAL CORPORATION, TOWER SQUARE SECURITIES INC., MONY SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

August 22, 2012 - October 19, 2012

BRADFORD FINANCIAL CENTER

RIA

CRD#: 110953

MASON CITY, IA

Past

June 12, 2001 - March 9, 2012

CETERA ADVISORS LLC

RIA

CRD#: 10299

MASON CITY, IA

Past

February 2, 2001 - March 9, 2012

CETERA ADVISORS LLC

CRD#: 10299

MASON CITY, IA

Past

January 4, 2000 - February 7, 2001

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

August 15, 1994 - December 31, 1999

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

July 7, 1992 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

July 7, 1987 - October 3, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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".

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 7/21/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/3/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/27/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRADFORD FINANCIAL CENTER

CRD#: 110953 / SEC#: 801-68117

RIA

Registered Investment Advisory firm - (7/23/2007 Approved)

Iowa

Registered Investment Advisory firm - (9/13/2007 Terminated)

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Contact information

Main Address

119 Central Ave W, Clarion, IA 50525

Mailing Address

Po Box 540, Clarion, IA 50525-0540

Phone number

(515) 532-6661

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRADFORD ADV 2A (10/29/2025)

Regulatory assets under management

Total Number of Accounts	1,710
AUM (Assets Under Management)	$ 232,332,172

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

Darrell D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NEXT FINANCIAL GROUP, INC.

ADVANTAGE CAPITAL CORPORATION

TOWER SQUARE SECURITIES, INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

BRADFORD FINANCIAL CENTER

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1995

Series 63

Date: 6/27/1987

Series 7

Date: 4/3/1993

Series 6

Date: 6/27/1987

Current Firm

BRADFORD FINANCIAL CENTER

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRADFORD FINANCIAL CENTER

TRUST BUT VERIFY

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