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Craig Ryan Smith

Craig R. Smith

VON BORSTEL & ASSOCIATES
Portland, OR 97216
Some features on this profile are disabled
CRD#: 5324542
Craig Ryan Smith

Professional summary

Craig Ryan Smith, CFP®, ChFC®, CLU® is a registered financial advisor currently at VON BORSTEL & ASSOCIATES located in Portland, Oregon.

Craig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Craig has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Ryan 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®
CFP®

Certified Financial Planner

Start date: 2010

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

August 18, 2020 - Present

VON BORSTEL & ASSOCIATES

Office #1: 9955 Se Washington Street Suite 105, Portland, OR 97216
RIA
CRD#: 309746
Portland, OR
Past

March 29, 2017 - August 19, 2020

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA
CRD#: 151298
Portland, OR
Past

August 20, 2009 - December 23, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
PORTLAND, OR
Past

August 13, 2009 - April 25, 2017

VON BORSTEL & ASSOCIATES, INC.

RIA
CRD#: 117724
THE DALLES, OR
Past

August 12, 2009 - September 9, 2020

LPL FINANCIAL LLC

BD
CRD#: 6413
PORTLAND, OR
Past

July 31, 2007 - July 28, 2009

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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".
VB
VON BORSTEL & ASSOCIATES
VON BORSTEL & ASSOCIATES | VON BORSTEL & ASSOCIATES, INC.

CRD#: 309746 / SEC#: 801-119041

RIA
Registered Investment Advisory firm - (7/31/2020 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.

Highlighted states indicate IAR registrations

IAR
Oregon
(8/18/2020)
IAR
Washington
(8/18/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/18/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2007
General Securities Representative Examination

Current Firm

VB
VON BORSTEL & ASSOCIATES
VON BORSTEL & ASSOCIATES | VON BORSTEL & ASSOCIATES, INC.

CRD#: 309746 / SEC#: 801-119041

RIA
Registered Investment Advisory firm - (7/31/2020 Approved)
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Contact information

Main Address
308 E 3rd Street, The Dalles, OR 97058
Mailing Address
Phone number
(541) 296-6669
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-2B (3/19/2025)

Regulatory assets under management

Total Number of Accounts2,158
AUM (Assets Under Management)$ 576,356,064

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.

Company Information

VON BORSTEL & ASSOCIATES

CRD#: 309746Portland, OR 97216

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