Richard E. Smith

PROVIDENT WEALTH MANAGEMENT

Erie, PA 16506

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CRD#: 5969425

Professional summary

Richard Edward Smith II, CFP® is a registered financial advisor currently at PROVIDENT WEALTH MANAGEMENT INC located in Erie, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 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.

Provident Private Estate Management, Inc. provides property management services to individuals, trusts, corporations, family limited partnerships, and other entities. The company is located at 3527 West 26th Street, Erie, PA 16506. It is not an investment-related business. As a shareholder of the company, primary duties are to assist Donald Smith, the President. The amount of hours devoted per month are is very unpredictable and depend on company, client, and executive needs. An approximation of time spent on company duties would be less than ten hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Smith II'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: 2020

Experience

Current

September 5, 2018 - Present

PROVIDENT WEALTH MANAGEMENT INC

Office #1: 3527 West 26th Street, Erie, PA 16506

RIA

CRD#: 107021

Erie, PA

Past

September 3, 2013 - March 31, 2020

PROVIDENT PRIVATE CAPITAL PARTNERS, INC.

CRD#: 44513

ERIE, PA

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

Pennsylvania
(9/5/2018)

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 65

Date: 1/31/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/4/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 10/4/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/3/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROVIDENT WEALTH MANAGEMENT INC

PROVIDENT PRIVATE CAPITAL PARTNERS, INC. | PROVIDENT WEALTH MANAGEMENT INC | PROVIDENT PRIVATE ESTATE MANAGEMENT, INC.

CRD#: 107021 / SEC#: 801-30754

RIA

Registered Investment Advisory firm - (6/1/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/4/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3527 West 26th Street, Erie, PA 16506

Mailing Address

Phone number

(814) 455-7523

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 25,744,055

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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Richard E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Smith II's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROVIDENT PRIVATE CAPITAL PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2017

Series 63

Date: 8/25/2014

Series 7TO

Date: 10/4/2022

Series 6TO

Date: 10/4/2022

SIE

Date: 10/1/2018

Series 7

Date: 11/8/2017

Series 6

Date: 9/3/2013

Current Firm

PROVIDENT WEALTH MANAGEMENT INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROVIDENT WEALTH MANAGEMENT INC

TRUST BUT VERIFY

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