RS
Ralph W. Smith
OSAIC INSTITUTIONS
Valdosta, GA 31602
Some features on this profile are disabled
CRD#: 1709504
RS
Professional summary
Ralph Wilson Smith, who also goes by Ralph W Smith, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Valdosta, Georgia.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ralph has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ralph W 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.
SMITH INVESTMENT ADVISOR GROUP
POSITION: Advisor member NATURE: DBA Smith investment advisor group LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2016 ADDRESS: 3303 inner perimeter, valdosta GA 31602, United States
DESCRIPTION: mutual funds/ stocks/ insurance/ annuities
DBA - Smith Investment Advisor Group, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Wilson Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Wilson 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 20, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3466 North Valdosta Road, Suite A, Valdosta, GA 31602RIA
BD
CRD#: 35371
Valdosta, GA
Current
April 11, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3466 North Valdosta Road, Suite A, Valdosta, GA 31602RIA
BD
CRD#: 35371
Valdosta, GA
Past
June 14, 2024 - August 29, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
VALDOSTA, GA
Past
June 14, 2024 - August 29, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
VALDOSTA, GA
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
VALDOSTA, GA
Past
September 18, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
VALDOSTA, GA
Past
May 16, 2018 - September 18, 2020
SSN ADVISORY, INC.
RIA
CRD#: 126090
Valdosta, GA
Past
May 15, 2018 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
January 2, 2009 - April 20, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
VALDOSTA, GA
Past
April 23, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
VALDOSTA, GA
Past
November 2, 1999 - April 20, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
VALDOSTA, GA
Past
June 26, 1997 - November 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 7, 1995 - June 24, 1997
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
December 6, 1993 - December 31, 1995
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
July 7, 1992 - September 14, 1993
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
March 23, 1992 - July 2, 1992
KAVANAUGH SECURITIES, INC.
BD
CRD#: 10606
DALLAS, TX
Past
August 3, 1989 - August 15, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 3, 1989 - August 15, 1991
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 17, 1988 - April 12, 1989
KAVANAUGH SECURITIES, INC.
BD
CRD#: 10606
Past
August 20, 1987 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/14/2025)
RR
Florida(4/11/2025)
RR
Georgia(4/11/2025)
IAR
Georgia(5/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Valdosta, GA 31602TRUST BUT VERIFY
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