Carolie R. Smith

BLEY INVESTMENT GROUP

Fort Worth, TX 76116

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CRD#: 58109

Professional summary

Carolie Ruth Smith, who also goes by Carolie Ruth Cruise, Carolie R Eggan, is a registered financial advisor currently at BLEY INVESTMENT GROUP, INC. located in Fort Worth, Texas.

Carolie is registered as a RR (Registered Representative) and started their career in finance in 1974. Carolie has worked at 16 firms and has passed the Series 66, Series 7TO, Series 52TO, SIE, Series 1, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carolie Ruth Cruise | Carolie R Eggan

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) - BD

Click below to view Carolie Ruth 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

May 9, 2022 - Present

BLEY INVESTMENT GROUP, INC.

Office #1: 6300 Ridglea Place Suite 508, Fort Worth, TX 76116Office #2: 6300 Ridglea Place #508, Fort Worth, TX 76116

CRD#: 26678

Fort Worth, TX

Past

June 18, 2020 - March 16, 2021

MORETON CAPITAL MARKETS, LLC

CRD#: 132643

SALT LAKE CITY, UT

Past

January 6, 2017 - November 18, 2019

ALAMO CAPITAL

CRD#: 26193

WALNUT CREEK, CA

Past

November 5, 2014 - January 10, 2017

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

SANDY, UT

Past

May 14, 2012 - November 6, 2014

EK RILEY INVESTMENTS, LLC

RIA

CRD#: 121003

SEATTLE, WA

Past

May 10, 2012 - November 6, 2014

EK RILEY INVESTMENTS, LLC

CRD#: 121003

SEATTLE, WA

Past

March 2, 2012 - May 16, 2012

MORGAN STANLEY

RIA

CRD#: 149777

SEATTLE, WA

Past

March 2, 2012 - May 16, 2012

MORGAN STANLEY

CRD#: 149777

SEATTLE, WA

Past

October 22, 2010 - March 2, 2012

INVESCO MANAGED ACCOUNTS, LLC

RIA

CRD#: 154461

SEATTLE, WA

Past

October 22, 2007 - October 22, 2010

SEATTLE-NORTHWEST SECURITIES CORPORATION

RIA

CRD#: 10639

SEATTLE, WA

Past

August 15, 2007 - March 2, 2012

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

SEATTLE, WA

Past

March 14, 2002 - August 16, 2007

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

BELLEVUE, WA

Past

January 1, 2001 - March 28, 2002

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

Past

July 21, 2000 - January 1, 2001

MJK CLEARING, INC.

CRD#: 8678

MINNEAPOLIS, MN

Past

June 24, 1998 - August 9, 2007

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

BELLEVUE, WA

Past

July 15, 1997 - March 14, 2000

AGINCOURT, LTD.

CRD#: 36661

PEMBROKE,

Past

October 8, 1995 - October 24, 1996

M. R. BEAL & COMPANY

CRD#: 22088

NEW YORK, NY

Past

January 12, 1988 - October 8, 1995

SMITH MITCHELL INVESTMENT GROUP INC.

CRD#: 6987

SEATTLE, WA

Past

March 27, 1986 - October 20, 1989

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605

Past

July 20, 1982 - March 12, 1986

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

Past

April 28, 1976 - July 30, 1982

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 7126

Past

October 3, 1974 - April 7, 1975

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(5/10/2022)

Utah
(5/10/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/24/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/1988

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/11/1986

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLEY INVESTMENT GROUP, INC.

ASSET INCOME SECURITIES, INC. | BLEY INVESTMENTS GROUP, INC. | BLEY INVESTMENT GROUP, INC. | ASSURANCE INCOME SECURITIES, INC.

CRD#: 26678 / SEC#: , 8-42701

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

6300 Ridglea Place Suite 519, Fort Worth, TX 76109-4911

Mailing Address

6300 Ridglea Place Suite 508, Fort Worth, TX 76116

Phone number

(817) 732-2442

Established

Texas since 05/14/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
PIERCE, PAIGE WYMAN	PRESIDENT, CEO, FINOP	1395210
BRIGGS, JONATHAN WILBOR	CHIEF COMPLIANCE OFFICER	3215005

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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Carolie R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carolie Ruth Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORETON CAPITAL MARKETS, LLC

ALAMO CAPITAL

R.W. SMITH & ASSOCIATES, LLC

EK RILEY INVESTMENTS, LLC

EK RILEY INVESTMENTS, LLC

MORGAN STANLEY

MORGAN STANLEY

INVESCO MANAGED ACCOUNTS, LLC

SEATTLE-NORTHWEST SECURITIES CORPORATION

SEATTLE-NORTHWEST SECURITIES CORPORATION

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

MILLER JOHNSON STEICHEN KINNARD, INC.

MJK CLEARING, INC.

R.W. SMITH & ASSOCIATES, LLC

AGINCOURT, LTD.

M. R. BEAL & COMPANY

SMITH MITCHELL INVESTMENT GROUP INC.

R.W. SMITH & ASSOCIATES, LLC

SEATTLE-NORTHWEST SECURITIES CORPORATION

SEATTLE-NORTHWEST SECURITIES CORPORATION

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2007

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 9/24/1974

Series 24

Date: 8/25/1988

Series 53

Date: 8/11/1986

FINRA

Current Firm

BLEY INVESTMENT GROUP, INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BLEY INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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