Robert C. Smith
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.
Robert Curts Smith, who also goes by Rob Smith III, Robert C . Smith, Robert Curtis Smith, Robert Curts Smith III, Robert Smith, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2018 - January 11, 2022
COVENANT WEALTH ADVISORS
February 14, 2005 - April 16, 2018
COVENANT WEALTH MANAGEMENT, LTD DBA COVENANT WEALTH ADVISORS
April 27, 2004 - July 2, 2004
TOWER SQUARE SECURITIES, INC.
April 27, 2004 - July 2, 2004
TOWER SQUARE SECURITIES, INC.
August 10, 2000 - April 7, 2004
CHARLES SCHWAB & CO., INC.
October 22, 1999 - April 7, 2004
CHARLES SCHWAB & CO., INC.
March 10, 1998 - September 21, 1999
EDWARD JONES
Primary Firm SEC Registration
COVENANT WEALTH ADVISORS
CRD#: 155221 / SEC#: 801-114868
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COVENANT WEALTH ADVISORS
CRD#: 155221 / SEC#: 801-114868
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,567 |
| AUM (Assets Under Management) | $ 653,008,459 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2025 | ||
| 08/26/2024 | ||
| 03/20/2024 | ||
| 02/03/2023 | ||
| 10/11/2022 |
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.
