AS
Adam L. Smith
FORTRESS PRIVATE LEDGER
Hickory, NC
Some features on this profile are disabled
CRD#: 6962103
AS
Professional summary
Adam Lawrence Smith, who also goes by Adam Smith, is a registered financial advisor currently at FORTRESS PRIVATE LEDGER, LLC located in Hickory, North Carolina.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Adam has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam 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.
1) FORTRESS FINANCIAL PARTNERS, FORTRESS INVESTMENT MANAGEMENT, AND FORTRESS RETIREMENT PLAN ADVISORS ARE DBA'S USED FOR BUSINESS CONDUCTED BY FORTRESS PRIVATE LEDGER, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Lawrence Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Lawrence 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
June 17, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
RIA
BD
CRD#: 290298
Hickory, NC
Current
June 17, 2024 - Present
FORTRESS PRIVATE LEDGER, LLC
Office #1: 3110 Edwards Mill Rd Suite 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #3: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612RIA
BD
CRD#: 290298
Raleigh, NC
Past
August 27, 2018 - June 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HICKORY, NC
Past
July 25, 2018 - June 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HICKORY, NC
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".
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Florida(3/25/2025)
RR
Kentucky(7/2/2024)
IAR
North Carolina(6/17/2024)
RR
North Carolina(6/26/2024)
RR
Ohio(6/24/2024)
RR
South Carolina(6/17/2024)
RR
Tennessee(1/24/2025)
RR
Texas(6/17/2024)
IAR
Texas(6/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORTRESS PRIVATE LEDGER, LLC
ABUNDANCE NC | THE JEFFREY GROUP | JG3, LLC | JAVELIN 19 OPPORTUNITY ZONE ADVISORS | HOMETOWN RETIREMENT STRATEGIES | FORTRESS RETIREMENT PLAN ADVISORS | FORTRESS PRIVATE LEDGER, LLC | FORTRESS PRIVATE LEDGER | FORTRESS PHYSICIANS | FORTRESS INVESTMENT MANAGEMENT | FORTRESS FINANCIAL PARTNERS | FORTRESS ADVISOR NETWORK | COLLEGIATE FINANCIAL GROUP | BEST INTEREST WEALTH PLANNING, LLC | AXIOM CONSULTING GROUP | ARCHER
CRD#: 290298 / SEC#: 801-118075, 8-70027
RIA
Registered Investment Advisory firm - SEC (2/18/2020 Approved)North Carolina
Registered Investment Advisory firm - SEC (2/28/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3110 Edwards Mill Rd, Ste 200 Suite 200, Raleigh, NC 27612
Mailing Address
3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612
Phone number
(919) 322-2762
Established
North Carolina since 11/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
26
SEC notice filing (19 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 346,106,253 |
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.
