RS
Rodney B. Smith
NWF ADVISORY SERVICES
TURLOCK, CA 95380
Some features on this profile are disabled
CRD#: 3276634
RS
Professional summary
Rodney Brian Smith is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Turlock, California and OSAIC WEALTH, INC. located in Turlock, California.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Rodney has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) PATHWAY FINANCIAL SERVICES INC. POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/17/2019 ADDRESS: 1001 N. Palm St., Ste. B, Turlock CA 95380, United States DESCRIPTION: 100% OWNER OF DBA PATHWAY FINANCIAL SERVICES INC. USED FOR MARKETING PURPOSES. (2) RENTAL PROPERTY POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/25/2019 ADDRESS: 1001 N. Palm St., Ste. B, Turlock CA 95380, United States DESCRIPTION: Subletting office space (3) CALVARY CHAPEL TURLOCK (CCT) POSITION: Volunteer NATURE: Board Member or Officer (Profit or Non-Profit) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/29/2021 ADDRESS: 147 S. Broadway, Turlock CA 95380, United States DESCRIPTION: An elder at Calvary Chapel Turlock (CCT) (4) CALVARY CHAPEL TURLOCK (CCT) POSITION: Board Member NATURE: Non-Profit - Church INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/29/2021 ADDRESS: 147 S. Broadway, Turlock CA 95380, United States DESCRIPTION: An elder at Calvary Chapel Turlock 5) THE AMERIFLEX GROUP POSITION: IAR NATURE: I am an IAR and The AmeriFlex Group is my RIA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/15/2023 ADDRESS: 8475 W Sunset Rd, Suite 101, Las Vegas NV 89113, United States DESCRIPTION: Client advisor / Business owner (6) NWF ADVISORY SERVICES, INC. POSITION: IAR NATURE: Corporation / RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/23/2025 ADDRESS: 1001 N. Palm St., Ste B, Turlock CA 95380, United States DESCRIPTION: I provide advisory services on fee based accounts for my clients. (7) PATHWAY FINANCIAL SERVICES, INC. POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 04/17/2019 ADDRESS: 1001 N. Palm St., Suite B, Turlock CA 95380, United States DESCRIPTION: 100% OWNER OF PATHWAY FINANCIAL SERVICES INC., USED FOR MARKETING PURPOSES.
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Brian 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
May 19, 2025 - Present
NWF ADVISORY SERVICES INC
Office #1: 1001 N Palm St, Turlock, CA 95380RIA
CRD#: 110410
TURLOCK, CA
Current
October 16, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 1001 N Palm St, Turlock, CA 95380RIA
BD
CRD#: 23131
Turlock, CA
Past
October 16, 2023 - July 2, 2025
THE AMERIFLEX GROUP
RIA
CRD#: 305585
Turlock, CA
Past
September 24, 2019 - April 27, 2024
MAIN STREET ADVISORS, LLC
RIA
CRD#: 116303
Turlock, CA
Past
May 7, 2019 - October 16, 2023
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
TURLOCK, CA
Past
April 17, 2019 - October 16, 2023
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
TURLOCK, CA
Past
November 29, 2017 - April 24, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
STOCKTON, CA
Past
November 29, 2017 - April 24, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
STOCKTON, CA
Past
June 15, 2010 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
STOCKTON, CA
Past
June 11, 2010 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
STOCKTON, CA
Past
February 4, 2009 - June 11, 2010
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
ANGELS CAMP, CA
Past
February 3, 2009 - June 11, 2010
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
ANGELS CAMP, CA
Past
September 29, 2008 - February 2, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
TURLOCK, CA
Past
May 10, 2004 - February 2, 2009
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
TURLOCK, CA
Past
April 12, 2002 - April 21, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
October 28, 1999 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)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(10/16/2023)
RR
California(10/16/2023)
IAR
California(5/19/2025)
RR
Colorado(8/14/2025)
RR
Kansas(10/16/2023)
RR
Missouri(10/16/2023)
RR
Nevada(10/16/2023)
RR
New Jersey(7/29/2025)
RR
New York(10/16/2023)
RR
North Carolina(10/18/2023)
RR
Oregon(10/17/2023)
RR
Tennessee(10/16/2023)
RR
Texas(10/16/2023)
RR
Washington(10/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NWF ADVISORY SERVICES INC
CRD#: 110410Turlock, CA 95380TRUST BUT VERIFY
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