Marc A. Smith

OARS CAPITAL

Dillsburg, PA 17019

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CRD#: 4840338

Professional summary

Marc Andrew Smith is a registered financial advisor currently at OARS CAPITAL located in Dillsburg, Pennsylvania.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Marc has worked at 3 firms and has passed the Series 65, Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Andrew 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

November 8, 2012 - Present

OARS CAPITAL

Office #1: 6 North Baltimore Street Suite 3, Dillsburg, PA 17019

RIA

CRD#: 153198

Dillsburg, PA

Past

October 25, 2010 - October 15, 2012

HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.

RIA

CRD#: 106454

CHARLOTTESVILLE, VA

Past

August 31, 2004 - May 28, 2008

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

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".

OARS CAPITAL

MARC SMITH INVESTMENTS | RED WAVE INVESTMENTS LLC | RED WAVE INVESTMENTS | OARS CAPITAL

CRD#: 153198 / SEC#: 801-119079

RIA

Registered Investment Advisory firm - (7/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (10/13/2020 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(4/9/2014)

IAR

Virginia
(11/8/2012)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/22/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/30/2004

General Securities Representative Examination

Current Firm

OARS CAPITAL

MARC SMITH INVESTMENTS | RED WAVE INVESTMENTS LLC | RED WAVE INVESTMENTS | OARS CAPITAL

CRD#: 153198 / SEC#: 801-119079

RIA

Registered Investment Advisory firm - (7/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/7/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/6/2020 Terminated)

Virginia

Registered Investment Advisory firm - (10/13/2020 Terminated)

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Contact information

Main Address

6 North Baltimore Street Suite 3, Dillsburg, PA 17019

Mailing Address

Phone number

(717) 601-0651

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OARS CAPITAL FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	720
AUM (Assets Under Management)	$ 360,293,484

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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Marc A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Andrew Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

OARS CAPITAL

HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.

UBS SECURITIES LLC

Primary Firm SEC Registration

OARS CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2010

Series 63

Date: 8/23/2006

Series 7

Date: 8/30/2004

Current Firm

OARS CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OARS CAPITAL

TRUST BUT VERIFY

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