Rick A. Smith

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CRD#: 2688208

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.

Rick Alan Smith was a registered financial professional .

Rick is a previously registered financial professional and started their career in finance in 1996. Rick had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 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.

BAHAMAS CONDO TREASURER POSITION: Treasurer NATURE: Looking at the bank account INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 44 Bahama Reef Blvd, Freeport GBI VI 34638, United States DESCRIPTION: I oversee the bank accounts

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

January 28, 2016 - December 31, 2023

CAPITAL ANALYSTS

RIA

CRD#: 162200

Lutz, FL

Past

December 8, 2015 - January 20, 2016

CAPITAL ANALYSTS

RIA

CRD#: 162200

Lutz, FL

Past

September 14, 2007 - December 31, 2023

LINCOLN INVESTMENT

RIA

CRD#: 519

LUTZ, FL

Past

September 26, 2005 - December 31, 2023

LINCOLN INVESTMENT

CRD#: 519

LUTZ, FL

Past

May 1, 2000 - September 26, 2005

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

Past

January 21, 2000 - May 11, 2000

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 5, 1998 - January 19, 2000

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

April 14, 1997 - August 5, 1998

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

CARMEL, IN

Past

January 1, 1996 - April 14, 1997

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

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".

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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

Series 63

Date: 1/18/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/3/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/22/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/21/2005

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

Phone number

(800) 242-1421

Established

Firm type

Fiscal year end

# of Employees

739

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts	26,578
AUM (Assets Under Management)	$ 8,713,202,466

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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

Rick A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

PLANMEMBER SECURITIES CORPORATION

VOYA FINANCIAL ADVISORS, INC.

CONSECO SECURITIES, INC.

CONSECO FINANCIAL SERVICES, INC.

CONSECO EQUITY SALES, INC.

Primary Firm SEC Registration

CAPITAL ANALYSTS

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/2007

Series 65

Date: 1/3/2007

SIE

Date: 10/1/2018

Series 6

Date: 12/22/1995

Series 26

Date: 7/21/2005

Current Firm

CAPITAL ANALYSTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ANALYSTS

TRUST BUT VERIFY

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