DS
Donald W. Smith
BANKERS LIFE ADVISORY SERVICES
CHARLOTTE, NC 28277
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CRD#: 5215922
DS
Professional summary
Donald William Smith JR, who also goes by Donald William Smith, Donald Smith Jr, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Charlotte, North Carolina and BANKERS LIFE SECURITIES, INC. located in Charlotte, North Carolina.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Donald has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donald William Smith | Donald Smith Jr
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.
BANKERS LIFE POSITION: AGENT NATURE: INSURANCE SALES INVESTMENT RELATED: YES NUMBER OF HOURS: 40 INVESTMENT RELATED HOURS: 40 START DATE: 09/19/2005 ADDRESS: 10706 SIKES PLACE, SUITE 300, CHARLOTTE, NC 28277; DESCRIPTION: SERVICE CLIENTS INSURANCE NEEDS PALADIN PROPERTIES LLC POSITION: MANAGER NATURE: RENTAL PROPERTIES INVESTMENT RELATED: NO NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 08/12/2005 ADDRESS: 10809 FOX HEDGE RD, MATTHEWS NC 28105 DESCRIPTION: RENTAL PROPERTY. FINANCED PURCHASE OF PROPERTIES. DONALD WILLIAM SMITH JR INSURANCE AND FINANCIAL SERVICES LLC POSITION: President NATURE: there is no business. this LLC is set up for tax purposes. I will only be compensated through BLS and BLC. There is no other entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 1620 Great Rd, Waxhaw NC 28173, United States DESCRIPTION: I created an S Corp LLC on the advice of my CPA. The S Corp is in place strictly for tax advantages. There is no additional time spent or requirements expected from this title/position
CRS (Client Relationship Summary) - RIA
Click below to view Donald William Smith JR'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
October 12, 2018 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 10706 Sikes Place Suite 300, Charlotte, NC 28277RIA
CRD#: 281285
CHARLOTTE, NC
Current
May 26, 2016 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 10706 Sikes Place Suite 300, Charlotte, NC 28277BD
CRD#: 173962
Charlotte, NC
Past
June 8, 2010 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CHARLOTTE, NC
Past
September 29, 2006 - May 28, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
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".
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 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(5/26/2016)
RR
Florida(1/7/2020)
RR
Georgia(5/26/2016)
RR
Michigan(5/2/2018)
RR
New York(4/16/2018)
RR
North Carolina(5/26/2016)
IAR
North Carolina(10/12/2018)
RR
Ohio(7/2/2020)
RR
South Carolina(5/26/2016)
IAR
South Carolina(12/13/2023)
RR
Virginia(5/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BL
BANKERS LIFE ADVISORY SERVICES, INC.
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
RIA
Registered Investment Advisory firm - (11/18/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 E. Wacker Drive 5th Fl, Chicago, IL 60601
Mailing Address
Phone number
(844) 553-9083
Established
Firm type
Fiscal year end
# of Employees
384
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
