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ES

Ernest L. Smith

NEWSONG CAPITAL MANAGEMENT
Hoover, AL
Some features on this profile are disabled
CRD#: 4460078
ES

Professional summary

Ernest Lee Smith Jr., who also goes by Ernest Lee Smith Jr, Ernest Lee Smith Jr., Ernie Lee Smith Jr, Ernest L Smith, Ernest Lee Smith, is a registered financial advisor currently at NEWSONG CAPITAL MANAGEMENT, INC. located in Hoover, Alabama.

Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ernest has worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ernest Lee Smith Jr | Ernest Lee Smith Jr. | Ernie Lee Smith Jr | Ernest L Smith | Ernest Lee 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.
ERISA Specialists LLC and Benefit Professionals, Inc. ^ Investment-Related: No ^ Third Party Administration and Consulting for Employer Benefits and Retirement Plans ^ LLC ^ Owner ^ 09/15/2014 ^ Time devoted to this entity during trading hours: 0 Hours per Month ^ Time devoted to this entity after trading hours: 0 Hours per Month ^ I am an owner of LLC but do not perform any functions and am not currently involved in any capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Lee Smith Jr.'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®
None

Experience

Current

February 18, 2023 - Present

NEWSONG CAPITAL MANAGEMENT, INC.

RIA
CRD#: 296877
Hoover, AL
Past

November 3, 2022 - February 1, 2023

NEXADVISORS, LLC

RIA
CRD#: 317477
Hoover, AL
Past

December 4, 2020 - February 2, 2022

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
BIRMINGHAM, AL
Past

June 19, 2019 - August 12, 2020

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Birmingham, AL
Past

May 16, 2019 - August 12, 2020

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Birmingham, AL
Past

March 27, 2017 - June 12, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
BESSEMER, AL
Past

March 27, 2017 - June 12, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
BESSEMER, AL
Past

January 25, 2010 - March 16, 2017

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
Birmingham, AL
Past

January 13, 2009 - March 16, 2017

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
Birmingham, AL
Past

August 24, 2004 - December 31, 2006

KOVACK SECURITIES INC.

BD
CRD#: 44848
BYRAM, MS
Past

February 26, 2002 - September 24, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BIRMINGHAM, AL
Past

October 19, 2001 - September 24, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Alabama
(2/18/2023)
IAR
California
(5/24/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/12/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2022
General Securities Principal Examination

Current Firm

NC
NEWSONG CAPITAL MANAGEMENT, INC.
NEWSONG CAPITAL MANAGEMENT, INC.

CRD#: 296877 / SEC#:

Alabama
Registered Investment Advisory firm - (10/15/2021 Approved)
California
Registered Investment Advisory firm - (5/24/2023 Approved)
Louisiana
Registered Investment Advisory firm - (4/25/2022 Approved)
Mississippi
Registered Investment Advisory firm - (7/25/2018 Approved)
Tennessee
Registered Investment Advisory firm - (6/27/2022 Approved)
Texas
Registered Investment Advisory firm - (7/17/2020 Conditional Restricted)
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Contact information

Main Address
10 Bellegrass Blvd, Hattiesburg, MS 39402
Mailing Address
Phone number
(601) 909-6117
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts205
AUM (Assets Under Management)$ 70,919,569

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

NEWSONG CAPITAL MANAGEMENT, INC.

CRD#: 296877Hoover, AL

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