Robb Roy Smith
Professional Summary
Robb Roy Smith was a registered financial advisor. Robb was a previously registered financial professional and started their career in finance 1994 - 2012. Robb had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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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Years of Experience
32 years in the financial services industry
Current & Past Employments
Past
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Current Firm
BAM ADVISOR SERVICES, LLC | WEATHERSTONE CAPITAL MANAGEMENT | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | FOCUS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC
Contact Information
Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105Phone Number
(314) 725-0455# of Employees
309SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
91,359AUM (Assets Under Management)
$41,483,880,621Similar Advisors
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
BAM ADVISOR SERVICES, LLC | WEATHERSTONE CAPITAL MANAGEMENT | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | FOCUS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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