Carolyn J. Smith

VALMARK ADVISERS

Dallas, TX

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CRD#: 4507037

Professional summary

Carolyn Jane Smith is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Dallas, Texas and VALMARK SECURITIES, INC. located in Dallas, Texas.

Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Carolyn has worked at 8 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.

C3 Financial Partners; Dallas, TX; Sr. Partner; sales and service of life insurance, disability, and long-term care insurance; investment related; start 02/2010; 20-40 hours/ week; compensation is % of sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Jane Smith's CRS (Customer Relationship Summary).

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

January 9, 2023 - Present

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Dallas, TX

Current

January 9, 2023 - Present

VALMARK SECURITIES, INC.

CRD#: 31243

Dallas, TX

Past

September 9, 2019 - January 9, 2023

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

DALLAS, TX

Past

September 9, 2019 - January 9, 2023

LION STREET FINANCIAL, LLC

CRD#: 165828

DALLAS, TX

Past

April 19, 2016 - September 10, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

DALLAS, TX

Past

March 18, 2013 - September 10, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

DALLAS, TX

Past

March 7, 2013 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

DALLAS, TX

Past

August 26, 2010 - March 24, 2011

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

SAN ANTONIO, TX

Past

August 26, 2010 - March 24, 2011

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SAN ANTONIO, TX

Past

August 1, 2003 - June 15, 2010

PADGETT FINANCIAL SERVICES, LLC

RIA

CRD#: 115250

SAN ANTONIO, TX

Past

March 5, 2003 - February 11, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SAN ANTONIO, TX

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

South Dakota
(1/17/2023)

IAR

Texas
(1/9/2023)

Texas
(1/13/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/13/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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.

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Firm Stability Insights

Carolyn J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Jane Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK SECURITIES, INC.

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PADGETT FINANCIAL SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2003

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2003

FINRA

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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