Ian R. Smith
ADVANCE CAPITAL MANAGEMENT | Financial Adviser, Dallas Area Office Manager
Dallas, TX 75201
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CRD#: 6130434
Professional summary
Ian Robert Hulen Smith is a registered financial advisor currently at ADVANCE CAPITAL MANAGEMENT INC located in Dallas, Texas.
Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Ian has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Biography
Ian is committed to helping individuals and families feel confident about their financial well-being. Taking a holistic approach, he educates and guides clients on all of life’s financial decisions involving investments, retirement, taxes, insurance, estate planning and more. His ultimate objective is to help people achieve their financial goals and retirement dreams.<#CR#><#CR#>Bringing several years of experience in the financial services industry, Ian worked as a wholesaler for various investment fund sponsors prior to joining Advance Capital. He served as the Regional Vice President for Westwood Management.<#CR#><#CR#>Ian earned a Bachelor of Arts degree in international relations from Brown University, and a Masters of Business Administration with a concentration in Finance from the University of Texas at Dallas. He is a member of the Dallas/Fort Worth World Affairs Council.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ian Robert Hulen 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®
NoneExperience
Current
July 8, 2020 - Present
ADVANCE CAPITAL MANAGEMENT INC
Office #1: Regus - Downtown Republic Center 325 N. Saint Paul Street, Suite 3131, Dallas, TX 75201RIA
CRD#: 110767
Dallas, TX
Past
July 12, 2016 - June 30, 2020
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
DALLAS, TX
Past
February 12, 2015 - June 1, 2016
NEXBANK SECURITIES INC
BD
CRD#: 133267
DALLAS, TX
Past
May 28, 2014 - June 1, 2016
NEXPOINT SECURITIES, INC.
BD
CRD#: 165013
DALLAS, TX
Past
May 13, 2013 - June 6, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WESTLAKE, TX
Past
May 6, 2013 - June 5, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
WESTLAKE, TX
Past
December 3, 2012 - April 9, 2013
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
WESTLAKE, TX
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".
AC
ADVANCE CAPITAL MANAGEMENT INC
ADVANCE CAPITAL MANAGEMENT INC
CRD#: 110767 / SEC#: 801-28092
RIA
Registered Investment Advisory firm - (10/9/1986 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
Texas(7/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/4/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ADVANCE CAPITAL MANAGEMENT INC
ADVANCE CAPITAL MANAGEMENT INC
CRD#: 110767 / SEC#: 801-28092
RIA
Registered Investment Advisory firm - (10/9/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Towne Square Suite 444, Southfield, MI 48076
Mailing Address
Phone number
(248) 350-8543
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,365 |
| AUM (Assets Under Management) | $ 4,504,447,556 |
Red Flags
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Company Information
ADVANCE CAPITAL MANAGEMENT INC
Financial Adviser, Dallas Area Office ManagerCRD#: 110767Dallas, TX 75201TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
