Robert H. 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 Howard Smith was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 8, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 2009 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 15, 2006 - March 3, 2008
NEFPG
March 27, 2006 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 2003 - March 30, 2006
A. G. EDWARDS & SONS, INC.
January 14, 2002 - January 22, 2003
MORGAN STANLEY DW INC.
November 13, 2001 - January 22, 2003
MORGAN STANLEY DW INC.
May 25, 1999 - November 16, 2001
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
