Wayne Benjamin Smith
Professional Summary
Wayne Benjamin Smith, who also goes by Wayne Smith, is a registered financial advisor currently at FBL WEALTH MANAGEMENT, LLC located in West Des Moines, Iowa and FBL MARKETING SERVICES, LLC located in Sioux Falls, South Dakota. Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Wayne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wayne Benjamin Smith, Wayne Smith
Similar Advisors
PRINCIPAL SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PRINCIPAL SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PRINCIPAL SECURITIES, INC.
Disclosures on record.
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.
Similar Advisors
PRINCIPAL SECURITIES, INC.
Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
PRINCIPAL SECURITIES, INC.
Current Firm
FBL WEALTH MANAGEMENT, LLC
Contact Information
Main Address
5400 University Avenue, West Des Moines, IA 50266Phone Number
(515) 225-5400# of Employees
207SEC notice filing (44 States and Territories)
Registered to provide investment advisory services in 44 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$9,240,933Similar Advisors
PRINCIPAL SECURITIES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
FBL WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(3/4/2020)
(4/27/2020)
(11/20/2018)
(4/24/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2005About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2006About the Series 26 examSRO Registrations
Similar Advisors
PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Benjamin Smith's CRS (Customer Relationship Summary).
Similar Advisors
PRINCIPAL SECURITIES, INC.