Albert C Smith
Professional Summary
Albert C Smith, who also goes by Albert Charles Smith, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Hoffman Estates, Illinois. Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Albert has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Albert Charles Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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THE DALA GROUP, LLC
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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THE DALA GROUP, LLC
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Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
Contact Information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001Phone Number
(727) 299-1800Established
Delaware since 12/28/1984Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
991SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
42,735AUM (Assets Under Management)
$2,106,655,325Disclosures
Regulatory Event
19Arbitration
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
State Registrations and Notice Filings
(7/16/2026)
(7/17/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2022About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2011About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2022About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Albert C Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert C Smith's CRS (Customer Relationship Summary).
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