Ronald D. Smith
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.
Ronald Dewayne Smith JR was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1993. Ronald had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2024 - October 9, 2025
SMITH WEALTH ADVISORS, LLC
July 28, 2023 - December 31, 2023
SMITH WEALTH ADVISORS, LLC
June 13, 2022 - December 31, 2022
SMITH WEALTH ADVISORS, LLC
January 24, 2019 - December 31, 2021
SMITH WEALTH ADVISORS, LLC
August 28, 2015 - December 31, 2018
SMITH WEALTH ADVISORS, LLC
April 25, 1994 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
February 2, 1994 - April 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 1993 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 19, 1993 - April 7, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMITH WEALTH ADVISORS, LLC
CRD#: 269848 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 223 |
| AUM (Assets Under Management) | $ 44,000,000 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 1/10/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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