RS
Ricky L. Smith
TD PRIVATE CLIENT WEALTH LLC
Jacksonville, FL 32246
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CRD#: 3193871
RS
Professional summary
Ricky Lacy Smith, who also goes by Rick Smith, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Jacksonville, Florida.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ricky has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Smith
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ricky Lacy Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricky Lacy 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
April 23, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246RIA
BD
CRD#: 164484
Jacksonville, FL
Current
February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 9715 Gate Parkway North, Jacksonville, FL 32246RIA
BD
CRD#: 164484
Jacksonville, FL
Past
September 18, 2006 - October 14, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
JACKSONVILLE, FL
Past
August 27, 2004 - September 14, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
JACKSONVILLE, FL
Past
May 17, 2001 - September 9, 2004
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
BIRMINGHAM, AL
Past
June 30, 1999 - May 1, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Arizona(1/29/2024)
IAR
Arizona(2/7/2024)
RR
California(9/28/2016)
IAR
California(9/28/2016)
RR
Colorado(4/11/2022)
IAR
Colorado(4/11/2022)
RR
Connecticut(4/24/2013)
IAR
Connecticut(5/3/2013)
RR
Delaware(4/24/2013)
IAR
Delaware(4/24/2013)
RR
Florida(4/19/2013)
IAR
Florida(5/2/2013)
RR
Georgia(4/23/2013)
IAR
Georgia(4/23/2013)
RR
Kansas(7/19/2024)
IAR
Kansas(7/19/2024)
RR
Maine(5/9/2013)
IAR
Maine(5/9/2013)
RR
Maryland(5/3/2013)
IAR
Maryland(5/8/2013)
RR
Massachusetts(5/13/2013)
IAR
Massachusetts(5/13/2013)
RR
Missouri(7/19/2024)
IAR
Missouri(7/19/2024)
RR
Nevada(9/14/2022)
IAR
Nevada(9/22/2022)
RR
New Hampshire(1/19/2024)
IAR
New Hampshire(1/19/2024)
RR
New Jersey(5/24/2013)
IAR
New Jersey(5/24/2013)
RR
New York(4/24/2013)
RR
North Carolina(4/24/2013)
IAR
North Carolina(4/24/2013)
RR
Pennsylvania(4/25/2013)
IAR
Pennsylvania(4/25/2013)
RR
Rhode Island(4/24/2013)
IAR
Rhode Island(4/24/2013)
IAR
South Carolina(4/24/2013)
RR
South Carolina(5/1/2013)
RR
Vermont(4/24/2013)
IAR
Vermont(4/24/2013)
RR
Virginia(4/23/2013)
IAR
Virginia(4/23/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
Company Information
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484Jacksonville, FL 32246TRUST BUT VERIFY
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