Bertis B. 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.
Bertis Byron Smith MR, who also goes by Bert Smith Mr, Bert Smith, Bertis Byron Smith, was a registered financial professional .
Bertis is a previously registered financial professional and started their career in finance in 1998. Bertis had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2016 - May 1, 2018
AVANTAX ADVISORY SERVICES
August 3, 2015 - May 1, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 25, 2007 - May 4, 2009
AVANTAX ADVISORY SERVICES
October 23, 2006 - May 4, 2009
AVANTAX INVESTMENT SERVICES, INC.
January 27, 2003 - December 31, 2003
WADDELL & REED
January 8, 2003 - December 31, 2003
WADDELL & REED
May 15, 1998 - July 9, 1998
A. G. EDWARDS & SONS, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
