AS
Andrea N. Smalley
STRATEGIC ADVISERS LLC
ORANGE, TX
Some features on this profile are disabled
CRD#: 5158188
AS
Professional summary
Andrea N. Smalley, who also goes by Andrea Nicole Clark, Andrea Clark, Andrea N Hodges, Andrea N Smalley, Andrea Smalley, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Orange, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Andrea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrea has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrea Nicole Clark | Andrea Clark | Andrea N Hodges | Andrea N Smalley | Andrea Smalley
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.
OBA-110175|OrgNmn:Niftyluck Shop (Tik Tok Shop) |Org Addr:Orange,Texas,US|OBA Nature:Beauty Products, Pet Products,|Invst Rel:N|Title:Tik Tok Shop Owner|Duties:Two hours per day, outside of working hours. |StrtDt:|TotHrs/mon:60|TrdHrs/mon:0|OBA-124695|OrgNmn:Smalley Med Service|Org Addr:Orange,Texas,US|OBA Nature:Hospitalist, spouse will be wo|Invst Rel:N|Title:Partner|Duties:Billing aprox four hours per week, work outside of business hours. |StrtDt:11-14-25|TotHrs/mon:16|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Andrea N. Smalley'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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ORANGE, TX
Current
April 21, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
May 10, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ORANGE, TX
Past
August 9, 2021 - May 15, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COLORADO SPRINGS, CO
Past
July 21, 2021 - May 12, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COLORADO SPRINGS, CO
Past
September 18, 2020 - June 14, 2021
PORTFOLIO MEDICS, LLC
RIA
CRD#: 145958
Colorado Springs, CO
Past
July 3, 2019 - August 3, 2020
EDWARD JONES
RIA
CRD#: 250
COLORADO SPRINGS, CO
Past
March 19, 2019 - August 3, 2020
EDWARD JONES
BD
CRD#: 250
COLORADO SPRINGS, CO
Past
March 22, 2011 - June 9, 2011
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
February 2, 2010 - July 1, 2010
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
May 15, 2008 - March 6, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SAN ANTONIO, TX
Past
May 15, 2008 - March 6, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SAN ANTONIO, TX
Past
November 16, 2007 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GALVESTON, TX
Past
August 23, 2007 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GALVESTON, TX
Past
July 3, 2006 - April 16, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LEAGUE CITY, TX
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alabama(4/27/2023)
RR
Alaska(4/27/2023)
RR
Arizona(5/8/2023)
RR
Arkansas(5/5/2023)
RR
California(4/27/2023)
RR
Colorado(4/27/2023)
RR
Connecticut(4/27/2023)
RR
Delaware(5/19/2023)
RR
District of Columbia(4/28/2023)
RR
Florida(4/27/2023)
RR
Georgia(5/1/2023)
RR
Hawaii(4/27/2023)
RR
Idaho(4/27/2023)
RR
Illinois(4/28/2023)
RR
Indiana(4/28/2023)
RR
Iowa(4/27/2023)
RR
Kansas(4/27/2023)
RR
Kentucky(4/28/2023)
RR
Louisiana(4/27/2023)
RR
Maine(4/28/2023)
RR
Maryland(5/1/2023)
RR
Massachusetts(4/28/2023)
RR
Michigan(6/13/2023)
RR
Minnesota(4/29/2023)
RR
Mississippi(4/27/2023)
RR
Missouri(4/28/2023)
RR
Montana(5/3/2023)
RR
Nebraska(4/27/2023)
RR
Nevada(5/1/2023)
RR
New Hampshire(4/27/2023)
RR
New Jersey(4/27/2023)
RR
New Mexico(4/27/2023)
RR
New York(4/27/2023)
RR
North Carolina(4/28/2023)
RR
North Dakota(5/1/2023)
RR
Ohio(4/27/2023)
RR
Oklahoma(4/27/2023)
RR
Oregon(5/6/2023)
RR
Pennsylvania(4/27/2023)
RR
Puerto Rico(5/8/2023)
RR
Rhode Island(5/3/2023)
RR
South Carolina(4/27/2023)
RR
South Dakota(4/27/2023)
RR
Tennessee(4/27/2023)
RR
Texas(4/25/2023)
IAR
Texas(3/31/2025)
RR
Utah(4/27/2023)
RR
Vermont(4/27/2023)
RR
Virginia(4/27/2023)
RR
Washington(4/26/2023)
RR
West Virginia(4/27/2023)
RR
Wisconsin(5/2/2023)
RR
Wyoming(5/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
