Rachel A. Smith

CANNON FINANCIAL STRATEGISTS

Athens, GA 30605

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CRD#: 4867160

Professional summary

Rachel Ann Smith, who also goes by Rachel Ann Hicks, Rachel A Smith, is a registered financial advisor currently at CANNON FINANCIAL STRATEGISTS, INC. located in Athens, Georgia.

Rachel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Rachel has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rachel Ann Hicks | Rachel A 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) 4/2022- Integrated Financial Group, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Athens, GA 2) 4/2022- IFG Advisory, LLC- DBA for LPL Business (entity for LPL business)- inv. related- Athens, GA 3) 4/2022- Highland Trust Partners- DBA for LPL Business (entity for LPL business)- inv. related- Athens, GA 4) 04/19/2022 - IFG Advisory, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin - Start Date - 04/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide administrative support to IFG Advisory, LLC, an independent investment advisor firm. I started this business activity in 04/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Ann 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 18, 2023 - Present

CANNON FINANCIAL STRATEGISTS, INC.

Office #1: 649-8 South Milledge Ave, Athens, GA 30605

RIA

CRD#: 133509

Athens, GA

Past

June 6, 2022 - August 11, 2023

IFG ADVISORY, LLC

RIA

CRD#: 168012

Athens, GA

Past

April 18, 2022 - August 21, 2023

LPL FINANCIAL LLC

CRD#: 6413

ATHENS, GA

Past

March 26, 2020 - April 27, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Watkinsville, GA

Past

March 25, 2020 - April 27, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Watkinsville, GA

Past

October 10, 2013 - March 25, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

Watkinsville, GA

Past

October 10, 2013 - March 25, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Watkinsville, GA

Past

October 16, 2012 - September 17, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATHENS, GA

Past

January 23, 2009 - September 17, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATHENS, GA

Past

February 23, 2005 - January 27, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATHENS, GA

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".

CANNON FINANCIAL STRATEGISTS, INC.

CRD#: 133509 / SEC#: 801-79869

RIA

Registered Investment Advisory firm - (6/18/2014 Approved)

Georgia

Registered Investment Advisory firm - (6/19/2014 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

Georgia
(10/18/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2012

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: 2/22/2005

General Securities Representative Examination

Current Firm

CANNON FINANCIAL STRATEGISTS, INC.

CRD#: 133509 / SEC#: 801-79869

RIA

Registered Investment Advisory firm - (6/18/2014 Approved)

Georgia

Registered Investment Advisory firm - (6/19/2014 Terminated)

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Contact information

Main Address

649-8 South Milledge Ave, Athens, GA 30605

Mailing Address

Phone number

(706) 548-3422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANNON FINANCIAL STRATEGISTS - DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,140
AUM (Assets Under Management)	$ 1,433,957,745

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

Rachel A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Ann Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFG ADVISORY, LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CANNON FINANCIAL STRATEGISTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2012

SIE

Date: 10/1/2018

Series 7

Date: 2/22/2005

Current Firm

CANNON FINANCIAL STRATEGISTS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANNON FINANCIAL STRATEGISTS, INC.

TRUST BUT VERIFY

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