Richard Walter Smith
Professional Summary
Richard Walter Smith, who also goes by Dick Smith, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1964 - 2021. Richard had worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 1, Series 24, Series 53 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
ALLIED MILLENNIAL PARTNERS, LLC | LANGDON, SHAW & BREWER SECURITIES, INC. | LANGDON SHAW SECURITIES, INC. | LANGDON & SHAW SECURITIES, INC. | INDIANA SECURITIES, INC. | EJ STERLING STRATEGIC WEALTH MANAGEMENT | EJ STERLING INC | E.J. STERLING, LLC
Contact Information
Main Address
Three World Financial Center 200 Vesey Street 24th Fl, New York, NY 10281Mailing Address
Three World Financial Center 200 Vesey Street 24th Fl, New York, NY 10281Phone Number
(646) 532-2400Established
New York since 09/09/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 1 — Registered Representative Examination
Passed Feb 1961Series 00 — General Securities Principal Examination
Passed Sep 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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