Robert A Smith
AIF®Professional Summary
Robert A Smith, AIF®, who also goes by Robert Alan Smith, Robert Smith, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Costa Mesa, California and CETERA WEALTH SERVICES, LLC located in Costa Mesa, California. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 8 firms and has passed the Series 66, Series 65, Series 63,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert Alan Smith, Robert Smith
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
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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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Credentials
Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
AIMPOINT WEALTH MANAGEMENT | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PLR WEALTH MANAGEMENT | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OMEGA WEALTH STRATEGIES WEALTH MANAGEMENT & INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | EMPIRE PRIVATE WEALTH | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS | COMPASS CAPITAL | COLLEGE PLANNING AMERICA
Contact Information
Main Address
3131 Camino Del Rio N. Suite 800, San Diego, CA 92108Phone Number
(619) 281-9890# of Employees
64SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,135AUM (Assets Under Management)
$1,874,347,252Similar Advisors
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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.
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Primary Firm SEC Registration
AIMPOINT WEALTH MANAGEMENT | WEALTHPOINTE ADVISORS | WEALTH ADVISORY SOLUTIONS, FINANCIAL & INSURANCE SERVICES | WEALTH 365 ADVISORS FINANCIAL AND INSURANCE SERVICES | THE FINANCIAL COLLECTIVE | SOVRAN PARTNERS | SOVRAN ADVISORS, LLC | PLR WEALTH MANAGEMENT | PINDER & NEIMEYER FINANCIAL | PEARCY FINANCIAL PARTNERS AND INSURANCE SERVICES | PARLIAMENT WEALTH MANAGEMENT AND INSURANCE SERVICES | OMEGA WEALTH STRATEGIES WEALTH MANAGEMENT & INSURANCE SERVICES | OLIRIA FINANCIAL | J. SPENCER JONES WEALTH MANAGEMENT | INTEGRATIVE WEALTH PARTNERS PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | GREATER PACIFIC SOLUTIONS FINANCIAL & INSURANCE SERVICES | FINANCIAL HAUS | ENVISAGE WEALTH MANAGEMENT | EMPIRE PRIVATE WEALTH | ECLIPSE FINANCIAL ADVISORS | DIRECT PATH PLANNING, INVESTMENTS, INSURANCE SOLUTIONS | CONCIERGE WEALTH MANAGEMENT & INSURANCE SOLUTIONS | COMPASS CAPITAL | COLLEGE PLANNING AMERICA
State Registrations and Notice Filings
(2/23/2024)
(2/27/2024)
(3/5/2024)
(7/8/2026)
(4/29/2025)
(2/26/2024)
(2/23/2024)
(8/13/2024)
(3/4/2024)
(1/16/2026)
(3/7/2024)
(4/16/2024)
(2/23/2024)
(2/27/2024)
(2/26/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2024About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert A Smith's CRS (Customer Relationship Summary).
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