Robb R. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robb Roy Smith was a registered financial professional .
Robb is a previously registered financial professional and started their career in finance in 1994. Robb had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2011 - October 18, 2012
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
November 1, 2011 - November 13, 2012
CAPITAL DIRECTIONS LLC
February 29, 2008 - September 17, 2010
QA3 FINANCIAL LLC
June 13, 2005 - September 17, 2010
QA3 FINANCIAL CORP.
November 7, 2003 - July 11, 2005
NEW ENGLAND SECURITIES
January 17, 1995 - March 31, 1997
SECURITIES AMERICA, INC.
July 11, 1994 - December 31, 1994
PFS INVESTMENTS INC.
Primary Firm SEC Registration
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
CRD#: 143319 / SEC#: 801-67641
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 78,053 |
| AUM (Assets Under Management) | $ 32,238,330,999 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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