Gene G. Smith

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CRD#: 2186207

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.

Gene Gordon Smith was a registered financial professional .

Gene is a previously registered financial professional and started their career in finance in 1992. Gene had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

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.

CELEBRATE MINISTRIES~'NIR'~5401 WILLOWBEND DR~~ALMA~MI~48801~CHURCH PASTOR/PRIEST~OTHER~1/2005~1HRS~1HRS~BOARD MEMBER~~GENE SMITH~'NIR'~5390 PHEASANT COURT~ ~ALMA~MI~48801~TAX PREPARATION/ACCOUNTING~ACCOUNTANT/BOOKKEEPER~11/2010~80HRS~80HRS~ACCOUNTING, BOOKEEPING, TAX PREP~~TRINITY CHURCH~'NIR'~1525 E. SUPERIOR~~ALMA~MI~48801~CHURCH PASTOR/PRIEST~OTHER~1/2009~1HRS~0HRS~BOARD MEMBER

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

December 19, 2013 - January 24, 2023

RFM FINANCIAL SOLUTIONS, LLC

RIA

CRD#: 124468

MT. PLEASANT, MI

Past

November 19, 2010 - January 22, 2014

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ALMA, MI

Past

November 19, 2010 - January 22, 2014

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ALMA, MI

Past

January 26, 2010 - November 22, 2010

EDWARD JONES

RIA

CRD#: 250

ALMA, MI

Past

March 13, 2007 - November 22, 2010

EDWARD JONES

CRD#: 250

ALMA, MI

Past

January 10, 2007 - March 15, 2007

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ALMA, MI

Past

January 21, 1999 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

January 21, 1999 - May 31, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 20, 1992 - January 12, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

RFM FINANCIAL SOLUTIONS, LLC

RFM FINANCIAL SOLUTIONS, LLC | ROBERT F. MURRAY & CO. CPAS PC

CRD#: 124468 / SEC#: 801-116713

RIA

Registered Investment Advisory firm - (5/30/2019 Approved)

Michigan

Registered Investment Advisory firm - (7/10/2019 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 66

Date: 12/23/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/8/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RFM FINANCIAL SOLUTIONS, LLC

RFM FINANCIAL SOLUTIONS, LLC | ROBERT F. MURRAY & CO. CPAS PC

CRD#: 124468 / SEC#: 801-116713

RIA

Registered Investment Advisory firm - (5/30/2019 Approved)

Michigan

Registered Investment Advisory firm - (7/10/2019 Terminated)

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Contact information

Main Address

805 N. Brown St., Mt. Pleasant, MI 48858

Mailing Address

Phone number

(989) 772-1209

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RFM FIRM BROCHURE PART 2B (12/5/2024)

RFM FIRM BROCHURE_PART 2A (12/5/2024)

Regulatory assets under management

Total Number of Accounts	948
AUM (Assets Under Management)	$ 227,576,976

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

Gene G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

EDWARD JONES

EDWARD JONES

AVANTAX INVESTMENT SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

RFM FINANCIAL SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2009

Series 63

Date: 12/3/1991

Series 7

Date: 12/8/2006

Series 6

Date: 12/3/1991

Current Firm

RFM FINANCIAL SOLUTIONS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RFM FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

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