GS
George W. Smith
AE WEALTH MANAGEMENT
Englewood, CO 80112
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CRD#: 4844156
GS
Professional summary
George Wallace Smith, ChFC®, who also goes by George Wallace Smith 3rd, George Wallace Smith, Wally Smith, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Englewood, Colorado and RIDGEGATE ADVISORS, LLC located in Englewood, Colorado.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. George has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, Series 22TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
George Wallace Smith 3rd | George Wallace Smith | Wally 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.
1.) RIDGEGATE ADVISORS, LLC ; YES INVESTMENT RELATED; 8310 S. VALLEY HIGHWAY, SUITE 480, ENGLEWOOD, CO 80112; MANAGING MEMBER/CEO; START DATE 09/2008; APPROX 125 HRS/MONTH APPROX 100 HRS/MONTH DURING TRADING; INVESTMENT ADVISORY. 2.) RIDGEGATE INSURANCE, LLC.; YES INVESTMENT RELATED; 6530 S. YOSEMITE ST SUITE 320 GREENWOOD VILLAGE, CO, 80111; INSURANCE SALES; MANAGING MEMBER/CEO; START DATE 07/2003; APPROX 16 HRS/MONTH; APPROX 16 HRS/MONTH DURING TRADING; INSURANCE SALES AS INDEPENDENT AGENT. 3.) GIBBORIM MEDIA, LLC (NON-INVESTMENT RELATED) LOCATED AT 8310 S. VALLEY HIGHWAY, SUITE 480, ENGLEWOOD, CO 80112; MANAGING MEMBER; START DATE 09/2018. APPROX 4 HRS/MONTH; 0 HRS/MONTH DURING TRADING; MARKETING SERVICES. 4)RIDGEGATE TAX, LLC-NOT INVESTMENT RELATED-TAX PREPARATION, ACCOUNTING, BOOKKEEPING-8310 S. VALLEY HIGHWAY, STE 480, ENGLEWOOD, CO 80112, MANAGING MEMBER, STRATEGIC POSITIONING AND HIGH LEVERL OVERSIGHT. 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS, 11/2022 5) RIDGEGATE ALTERNATIVES, LLC-INVESTMENT RELATED, 8310 S. VALLEY HWY, STE 480, ENGLEWOOD, CO 80112, ENTITY THROUGH WHICH SECURITIES RELATED BUSINESS IS OFFERED THROUGH EMERSON EQUITY LLC, FINANCIAL PROFESSIONAL, MARKET AND SELL SECURITIES RELATED PRODUCTS THROUGH BROKER/DEALER EMERSON EQUITY LLC, 40 HRS A MONTH, 40 HRS A MONTH DURING SECURITIES TRADING HOURS, 12/2022 6)EMERSON EQUITY, LLC POSITION: Registered Rep NATURE: Broker Dealer INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 07/01/2020 ADDRESS: 155 Bovet Road, Suite 275, San Mateo CA 94402, United States DESCRIPTION: Securities Sales and Services
CRS (Client Relationship Summary) - RIA
Click below to view George Wallace Smith'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®
Experience
Current
February 4, 2020 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 8310 S Valley Hwy Suite 100, Englewood, CO 80112RIA
CRD#: 282580
Englewood, CO
Current
July 28, 2025 - Present
RIDGEGATE ADVISORS, LLC
Office #1: 8310 S Valley Highway Suite 480, Englewood, CO 80112RIA
CRD#: 334233
ENGLEWOOD, CO
Current
July 1, 2020 - Present
EMERSON EQUITY LLC
Office #1: 8310 S Valley Hwy Suite 480, Englewood, CO 80112RIA
BD
CRD#: 130032
Englewood, CO
Past
December 23, 2019 - July 9, 2020
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Greenwood Village, CO
Past
October 17, 2019 - December 20, 2019
COLORADO FINANCIAL SERVICE CORPORATION
BD
CRD#: 104343
CENTENNIAL, CO
Past
August 1, 2009 - April 21, 2022
RIDGEGATE FINANCIAL, LLC
RIA
CRD#: 148526
GREENWOOD VILLAGE, CO
Past
March 28, 2005 - March 28, 2008
ARAX ADVISORY PARTNERS
RIA
CRD#: 133535
DENVER, CO
Past
September 27, 2004 - February 7, 2005
SENIOR FINANCE & HEALTH, LLC
RIA
CRD#: 132655
HIGHLANDS RANCH, CO
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".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 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.RR
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
RR
Arizona(7/13/2020)
RR
Arkansas(7/21/2022)
RR
California(7/14/2020)
IAR
California(7/28/2025)
IAR
Colorado(2/4/2020)
RR
Colorado(7/10/2020)
RR
Connecticut(3/30/2022)
RR
Florida(7/13/2020)
RR
Georgia(8/15/2022)
RR
Idaho(2/16/2022)
RR
Illinois(7/30/2021)
RR
Iowa(1/5/2023)
RR
Louisiana(10/25/2021)
RR
Maine(12/2/2022)
RR
Maryland(4/26/2021)
RR
Massachusetts(7/26/2023)
RR
Michigan(5/27/2021)
RR
Minnesota(7/20/2023)
RR
Nebraska(1/4/2021)
RR
Nevada(10/28/2020)
RR
New Hampshire(9/7/2021)
RR
New Jersey(2/15/2023)
RR
New Mexico(9/30/2021)
RR
New York(6/29/2021)
RR
Ohio(3/23/2022)
RR
Oklahoma(9/14/2021)
RR
Oregon(12/23/2021)
RR
Pennsylvania(3/16/2021)
RR
South Carolina(7/17/2020)
RR
South Dakota(4/8/2024)
RR
Tennessee(10/5/2021)
RR
Texas(7/28/2021)
IAR
Texas(10/21/2024)
RR
Utah(5/1/2023)
RR
Vermont(1/8/2025)
RR
Virginia(10/12/2021)
RR
Washington(2/16/2021)
RR
Wyoming(11/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 10/7/2019
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
