RS
Roger D. Smothers
R.D. SMOTHERS WEALTH MANAGEMENT
CAMPBELLSVILLE, KY 42718
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CRD#: 6558938
RS
Professional summary
Roger Dale Smothers Jr, who also goes by Roger Dale Smothers, is a registered financial advisor currently at R.D. SMOTHERS WEALTH MANAGEMENT located in Campbellsville, Kentucky.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Roger has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Dale Smothers
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.
RDS Insurance Group, LLC - investment related, 112 E. Main St, Campbellsville, KY. Owner, since December 2023, 40 hrs a month during securities hours. Business duties include selling life insurance and annuities. RDS Holdings, LLC - investment related, 112 E Main St, Campbellsville, KY. Owner, since March 2020, 5 hours a month not during securities hours. Business duties include buying and selling real estate properties. This LLC is the holding entity for the properties Mr. Smothers owns. AE Wealth Management - Investment related, 2950 SW Mclure Rd, Topeka, KS. IAR since 2019. Approximately 100 hours a month primarily during securities hours. Business duties include investment management and financial planning. AMERICAN FINANCIAL EDUCATION ALLIANCE POSITION: Chapter President NATURE: Providing educational seminars around taxes and social security along with other courses. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2023 ADDRESS: 349 Copperfield Blvd NE STE-L #106, Concord NC 28025, United States DESCRIPTION: Chapter President of the Cumberland Chapter. Speaker at educational seminars. No dinner or food is served during this hour long seminar. It's strictly for educational purposes.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Dale Smothers Jr'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 11, 2024 - Present
R.D. SMOTHERS WEALTH MANAGEMENT
Office #1: 112 E. Main Street Suite 200, Campbellsville, KY 42718RIA
CRD#: 329361
CAMPBELLSVILLE, KY
Past
August 5, 2019 - December 4, 2024
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Campbellsville, KY
Past
March 10, 2016 - August 6, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CAMPBELLSVILLE, KY
Past
January 5, 2016 - August 6, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CAMPBELLSVILLE, KY
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
Kentucky(7/11/2024)
IAR
Tennessee(7/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RS
R.D. SMOTHERS WEALTH MANAGEMENT
R.D. SMOTHERS WEALTH MANAGEMENT | RDS WEALTH | R.D. SMOTHERS WEALTH MANAGEMENT, LLC
CRD#: 329361 / SEC#:
Kentucky
Registered Investment Advisory firm - (7/11/2024 Approved)Tennessee
Registered Investment Advisory firm - (7/11/2025 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
112 E. Main Street Suite 200, Campbellsville, KY 42718
Mailing Address
Phone number
(270) 600-7526
Established
Firm type
Fiscal year end
# of Employees
14
Regulatory assets under management
| Total Number of Accounts | 456 |
| AUM (Assets Under Management) | $ 54,550,763 |
Red Flags
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