Carroll R. Smith

RS WEALTH MANAGEMENT

Lutherville, MD

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CRD#: 2832133

Professional summary

Carroll Ryan Smith, who also goes by Smith C Ryan, is a registered financial advisor currently at RS WEALTH MANAGEMENT, INC. located in Lutherville, Maryland.

Carroll is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carroll has worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Smith C Ryan

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.

CARROLL RYAN SMITH - YES - 9621 HARFORD RD 1ST FL BALTIMORE, MD 21234 - FIXED INS - 7/09 - 5HR/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll Ryan 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®

None

Experience

Current

May 23, 2013 - Present

RS WEALTH MANAGEMENT, INC.

RIA

CRD#: 167002

Lutherville, MD

Past

March 13, 2009 - May 21, 2013

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

HUNT VALLEY, MD

Past

March 13, 2009 - May 21, 2013

NATIONAL PLANNING CORPORATION

CRD#: 29604

HUNT VALLEY, MD

Past

February 11, 2002 - April 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HUNT VALLEY, MD

Past

January 18, 2002 - April 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HUNT VALLEY, MD

Past

January 13, 2001 - January 28, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 7, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 1, 1998 - December 18, 1998

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

October 1, 1997 - September 1, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

Past

July 14, 1997 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

Past

February 3, 1997 - July 7, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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.

Highlighted states indicate IAR registrations

IAR

Maryland
(5/23/2013)

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 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/13/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/12/1996

General Securities Representative Examination

Current Firm

RS WEALTH MANAGEMENT, INC.

CRD#: 167002 / SEC#:

Maryland

Registered Investment Advisory firm - (5/16/2013 Approved)

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Contact information

Main Address

Lutherville, MD

Mailing Address

Phone number

(443) 219-0676

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 38,386,520

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Carroll R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll Ryan Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ROBERTSON STEPHENS, INC.

BANCAMERICA SECURITIES, INC.

ROBERTSON, STEPHENS & COMPANY LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 1/5/1998

Series 31

Date: 10/13/2009

Series 7

Date: 12/12/1996

Current Firm

RS WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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