Eric M. Smith

INVICTA ADVISORS LLC

Upper Chichester, PA 19061

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CRD#: 4832474

Professional summary

Eric Michael Smith is a registered financial advisor currently at INVICTA ADVISORS LLC located in Upper Chichester, Pennsylvania and INVICTA CAPITAL LLC located in Doylestown, Pennsylvania.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Eric has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 11 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.

9/1/2016- DBA 1682 WEALTH MANAGEMENT, LLC, 196 W ASHLAND ST, STE 100, DOYLESTOWN, PA 18901. 40 HPW DURING SECURITIES TRADING HOURS. ADMINISTRATOR PROVIDING ANCELLORY SERVICES AND BUSINESS OPERATING SERVICES. DBA YOUR BEST INTEREST FINANCIAL SERVICES, INC.-1318 MEETINGHOUSE RD, UPPER CHICHESTER, PA 19061. LEASED EMPLOYEE TO 1682 WEALTH MANAGEMENT . 1 HPW. ANCELLORY SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Michael 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

October 25, 2018 - Present

INVICTA ADVISORS LLC

Office #1: 1318 Meetinghouse Road, Upper Chichester, PA 19061

RIA

CRD#: 298868

Upper Chichester, PA

Current

November 15, 2018 - Present

INVICTA CAPITAL LLC

Office #1: 196 West Ashland Street, Doylestown, PA 18901

CRD#: 288101

Doylestown, PA

Past

October 9, 2014 - November 15, 2018

TRUSTMONT ADVISORY GROUP, INC.

RIA

CRD#: 106015

DOYLESTOWN, PA

Past

January 25, 2013 - November 15, 2018

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

DOYLESTOWN, PA

Past

January 4, 2005 - January 29, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

DOYLESTOWN, PA

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".

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 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.

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

IAR

Pennsylvania
(10/25/2018)

Pennsylvania
(1/10/2019)

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 65

Date: 10/9/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/28/2017

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 11

Date: 10/4/2004

Assistant Representative-Order Processing Qualification Exam

SRO Registrations

FINRA

Current Firm

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

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Contact information

Main Address

527 Cedar Way Suite 101, Oakmont, PA 15139

Mailing Address

Phone number

(412) 349-8684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 183,496,330

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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Advisor Monitoring

Firm Stability Insights

Eric M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Michael Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVICTA CAPITAL LLC

TRUSTMONT ADVISORY GROUP, INC.

TRUSTMONT FINANCIAL GROUP, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

INVICTA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/2014

Series 63

Date: 11/29/2004

SIE

Date: 10/1/2018

Series 6

Date: 11/28/2017

Series 11

Date: 10/4/2004

FINRA

Current Firm

INVICTA ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVICTA ADVISORS LLC

TRUST BUT VERIFY

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