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Ronald Dewayne Smith Jr

CRD# 2413775·Registered 1993 - 2025
Previously Registered: Being a previously registered professional could mean that Ronald 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.

Professional Summary

Ronald Dewayne Smith JR was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1993 - 2025. Ronald had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

SMITH WEALTH ADVISORS, LLC·CRD# 269848
RIA
Ausitn, TX
January 17, 2024 - October 9, 2025
SMITH WEALTH ADVISORS, LLC·CRD# 269848
RIA
Austin, TX
July 28, 2023 - December 31, 2023
SMITH WEALTH ADVISORS, LLC·CRD# 269848
RIA
Ausitn, TX
June 13, 2022 - December 31, 2022
SMITH WEALTH ADVISORS, LLC·CRD# 269848
RIA
Ausitn, TX
January 24, 2019 - December 31, 2021
SMITH WEALTH ADVISORS, LLC·CRD# 269848
RIA
Austin, TX
August 28, 2015 - December 31, 2018
AMERICAN EXPRESS SERVICE CORPORATION·CRD# 10518
BD
Minneapolis, MN
April 25, 1994 - December 31, 1994
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
RIA
Austin, TX
February 2, 1994 - April 7, 2015
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
Minneapolis, MN
November 19, 1993 - July 3, 2006
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Austin, TX
November 19, 1993 - April 7, 2015

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Current Firm

SW
SMITH WEALTH ADVISORS, LLC

NONE | SMITH WEALTH PARTNERS, LLC | SMITH WEALTH ADVISORS, LLC | SMITH WEALTH ADVISORS LLC

CRD#: 269848

Contact Information

Main Address

Ausitn, TX

Mailing Address

5313 Serene Hills #4407, Ausitn, TX 78738

Phone Number

(512) 330-9161

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

223

AUM (Assets Under Management)

$44,000,000

Exempt reporting advisers


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
TexasERA - Withdrawn1/10/2024

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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.

Partner Vista Park Living, Real Estate Development

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2002About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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