Bradley E. Smith

CAPROCK WEALTH MANAGEMENT

LITTLE ROCK, AR 72211

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CRD#: 5856592

Professional summary

Bradley Emmett Smith, CFP®, who also goes by Brad Emmett Smith, is a registered financial advisor currently at CAPROCK WEALTH MANAGEMENT located in Little Rock, Arkansas.

Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Bradley has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brad Emmett Smith

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.

BES ENTERPRISES - INVESTMENT RELATED (YES) - 2816 N. FILLMORE ST, Little Rock, AR 72207 - Real Estate - No hours dedicated during trade hours-Duties include the management of timberland that includes the harvesting & selling of timber, leasing the land, and other miscellaneous items. This is primarily handled by a third-party forester - Start date -1/3/2006 - Present Magnolia Banking Corporation - Investment Related (YES) - 222 S. Pine, Magnolia, AR 71753 - Banking - Director - Approximate 1 hour during trading hours on quarterly scheduled meeting - Duties include Strategic planning, Financial oversight, Risk management, Board evaluation, Mergers and acquisitions, Share repurchase programs, Declaring Dividends - Start Date 03/01/2015 - Present

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Emmett Smith'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

January 2, 2025 - Present

CAPROCK WEALTH MANAGEMENT

Office #1: 10809 Executive Center Drive Plaza 8, Little Rock, AR 72211

RIA

CRD#: 333678

LITTLE ROCK, AR

Past

February 28, 2023 - December 24, 2024

MERIDIAN INVESTMENT ADVISORS

RIA

CRD#: 110216

LITTLE ROCK, AR

Past

June 26, 2014 - February 21, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

MAGNOLIA, AR

Past

June 26, 2014 - February 21, 2023

LPL FINANCIAL LLC

CRD#: 6413

MAGNOLIA, AR

Past

May 20, 2011 - October 1, 2013

CREWS & ASSOCIATES, INC.

CRD#: 8052

LITTLE ROCK, AR

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

Arkansas
(1/2/2025)

IAR

Texas
(1/15/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/15/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/10/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2011

General Securities Representative Examination

Current Firm

CAPROCK WEALTH MANAGEMENT

CAPITAL ROCK WEALTH MANAGEMENT | CAPROCK WEALTH MANAGEMENT LLC | CAPROCK WEALTH MANAGEMENT LIMITED LIABILITY COMPANY | CAPROCK WEALTH MANAGEMENT

CRD#: 333678 / SEC#:

Arkansas

Registered Investment Advisory firm - (1/2/2025 Approved)

Texas

Registered Investment Advisory firm - (3/28/2025 Approved)

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Contact information

Main Address

10809 Executive Center Drive Plaza 8, Little Rock, AR 72211

Mailing Address

Phone number

(501) 830-5588

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Bradley E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Emmett Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPROCK WEALTH MANAGEMENT

MERIDIAN INVESTMENT ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CREWS & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2014

Series 63

Date: 6/10/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2011

Current Firm

CAPROCK WEALTH MANAGEMENT

Contact information

Documents

Red Flags

Company Information

CAPROCK WEALTH MANAGEMENT

TRUST BUT VERIFY

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