ES
Edward A. Smith
RIA ADVISORY GROUP
DES MOINES, IA 50309
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CRD#: 4071649
ES
Professional summary
Edward Allen Smith III is a registered financial advisor currently at RIA ADVISORY GROUP, LLC located in Des Moines, Iowa.
Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Edward has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.
No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/30/2018 - 3 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Allen Smith III'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
August 3, 2020 - Present
RIA ADVISORY GROUP, LLC
Office #1: 500 Sw 7th Street Suite 204, Des Moines, IA 50309RIA
CRD#: 152566
DES MOINES, IA
Past
July 27, 2018 - November 20, 2020
BALEFIRE, LLC
RIA
CRD#: 168733
Des Moines, IA
Past
January 17, 2018 - July 31, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
DES MOINES, IA
Past
June 16, 2017 - December 31, 2017
BALEFIRE, LLC
RIA
CRD#: 168733
West Des Moines, IA
Past
June 15, 2017 - July 31, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
DES MOINES, IA
Past
December 4, 2006 - June 16, 2017
EDWARD JONES
RIA
CRD#: 250
PERRY, IA
Past
October 22, 2002 - June 16, 2017
EDWARD JONES
BD
CRD#: 250
PERRY, IA
Past
May 8, 2000 - October 22, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HIAWATHA, IA
Past
January 28, 2000 - October 22, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 28, 2000 - October 22, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)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.Highlighted states indicate IAR registrations
IAR
Iowa(8/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORY GROUP, LLC
DAKOTA ADVISORY TEAM | TRIPOINT ADVISORY GROUP, LLC | RIEA | RIAG, LLC DBA RIA ADVISORS | RIA ADVISORY GROUP, LLC | PEDERSEN INSURANCE & FINANCIAL SERVICES | LIFESTYLES INVESTMENT STRATEGIES | IEA WEALTH MANAGEMENT, LLC | IEA WEALTH MANAGEMENT LLC | EA-ADVISORS, LLC | EA ADVISORS
CRD#: 152566 / SEC#: 801-117837
RIA
Registered Investment Advisory firm - (1/2/2020 Approved)Iowa
Registered Investment Advisory firm - (1/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (1/6/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/2/2020 Terminated)Nevada
Registered Investment Advisory firm - (2/5/2020 Terminated)Texas
Registered Investment Advisory firm - (1/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Sw 7th Street Suite 204, Des Moines, IA 50309
Mailing Address
Phone number
(515) 965-8588
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,009 |
| AUM (Assets Under Management) | $ 456,517,836 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RIA ADVISORY GROUP, LLC
CRD#: 152566Des Moines, IA 50309TRUST BUT VERIFY
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