RS
Randall W. Smith
DOMINION PORTFOLIO MANAGEMENT
Horseshoe Bay, TX
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CRD#: 2947453
RS
Professional summary
Randall Warren Smith is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Horseshoe Bay, Texas and CALTON & ASSOCIATES, INC. located in Horseshoe Bay, Texas.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Randall has worked at 3 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.) FIXED INSURANCE, LICENSED WITH TEXAS DEPARTMENT OF INSURANCE, LICENSE ID 891756, LIFE, ACCIDENT, HEALTH AND HMO, ISSUED 6-27-2000; PRESIDENT AND PART OWNER OF DOMINION INSURANCE SERVICES, NON-INVESTMENT RELATED; 238 PENNSYLVANIA, NEW BRAUNFELS, TX 78130, LESS THAN 1 HOUR/MONTH DURING SECURITIES TRADING HOURS, START DATE 01/26/2000. 2.) OWNS CIRCLE R RANCH, NON-INVESTMENT RELATED, BOX 2346 HARPER VALLEY RANCH ROAD, HARPER, TEXAS 78631, RANCHING 8/86, 10 HOURS A WEEK, NONE DURING TRADING, RANCHING BUSINESS. 3.) R&A MANAGEMENT; NON-INVESTMENT RELATED; 201 LASSO, HORSESHOE BAY, TX 78657; RENTAL PROPERTIES; PARTNER; START DATE 08/06/1986; HOURS/MONTH: 3; HOURS DURING SECURITIES TRADING HOURS: 0; REVIEW EXPENDITURES AND PROSPECTIVE CLIENT APPLICATIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Warren 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®
NoneExperience
Current
June 2, 2011 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
RIA
CRD#: 106918
Horseshoe Bay, TX
Current
July 2, 2023 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Horseshoe Bay, TX
Past
November 10, 1997 - July 21, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
Horseshoe Bay, TX
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".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/15/2023)
RR
Arizona(8/15/2023)
RR
Arkansas(8/16/2023)
RR
California(7/2/2023)
RR
Colorado(7/2/2023)
RR
Florida(7/2/2023)
RR
Georgia(8/31/2023)
RR
Indiana(7/2/2023)
RR
Louisiana(7/2/2023)
RR
Michigan(7/2/2023)
RR
Mississippi(7/31/2023)
RR
Missouri(8/15/2023)
RR
New Mexico(8/15/2023)
RR
Oklahoma(7/2/2023)
RR
Pennsylvania(8/15/2023)
RR
South Carolina(1/29/2025)
RR
Tennessee(7/2/2023)
IAR
Texas(6/2/2011)
RR
Texas(7/2/2023)
RR
Utah(7/26/2023)
RR
Virginia(8/15/2023)
RR
Washington(7/2/2023)
RR
Wyoming(7/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/24/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
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.
