Charles C. Smith

DELTA ADVISORY GROUP

Maitland, FL 32751

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CRD#: 871804

Professional summary

Charles Clarence Smith JR, who also goes by Buddy Smith, Charles C Smith Jr, is a registered financial advisor currently at DELTA ADVISORY GROUP, INC. located in Maitland, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Charles has worked at 5 firms and has passed the Series 65, Series 63, Series 22 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Buddy Smith | Charles C Smith Jr

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.

Charles C. Smith, Jr. P.A., owner, Clarence-Pelton, Ltd., general partner, Delta Research Institute, Inc., President and Director, Orlando, Florida - non-investment related consulting firms; approximate start date 01/1984; approximately 10 hours per month. Delta Realty Advisors, Inc; Maitland, Florida; CEO; non-investment related activity; real estate manager; approximate start date 01/2010; approximately 20 hours per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Clarence Smith JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 20, 2009 - Present

DELTA ADVISORY GROUP, INC.

Office #1: 696 N Maitland Avenue, Maitland, FL 32751

RIA

CRD#: 105966

Maitland, FL

Past

June 4, 2009 - October 26, 2009

DYNETECH CAPITAL CORPORATION

RIA

CRD#: 149557

ORLANDO, FL

Past

July 23, 1987 - December 31, 2005

PREMIERETRADE SECURITIES, INC.

RIA

CRD#: 16776

ALTAMONTE SPRINGS, FL

Past

January 8, 1986 - December 31, 2005

PREMIERETRADE SECURITIES, INC.

CRD#: 16776

ALTAMONTE SPRINGS, FL

Past

November 5, 1980 - November 4, 1983

OSAIC FS, INC.

CRD#: 3870

Past

September 26, 1979 - October 30, 1980

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

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".

DELTA ADVISORY GROUP, INC.

DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC

CRD#: 105966 / SEC#: 801-126783

RIA

Registered Investment Advisory firm - (1/18/2023 Approved)

Florida

Registered Investment Advisory firm - (11/14/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/15/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (11/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(10/20/2009)

IAR

Texas
(5/7/2018)

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

State Security Law Exam

IAR

Series 65

Date: 6/3/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 12/2/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 1

Date: 9/17/1979

Registered Representative Examination

Current Firm

DELTA ADVISORY GROUP, INC.

DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC

CRD#: 105966 / SEC#: 801-126783

RIA

Registered Investment Advisory firm - (1/18/2023 Approved)

Florida

Registered Investment Advisory firm - (11/14/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/27/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/15/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (11/14/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/14/2023 Terminated)

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Contact information

Main Address

696 N Maitland Avenue, Maitland, FL 32751

Mailing Address

Phone number

(407) 331-9213

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2B DELUCA (3/31/2025)

PART 2B MIRANDA (3/31/2025)

PART 2B SMITH (3/31/2025)

DAG ADV PART 2A MARCH 2025 (3/31/2025)

DAG FORM CRS (3/31/2025)

PART 2B PETSOS (3/31/2025)

DAG AUDITED FINANCIAL STATEMENTS DEC 2024 (3/31/2025)

PART 2B NESTOR (3/31/2025)

Regulatory assets under management

Total Number of Accounts	905
AUM (Assets Under Management)	$ 192,575,198

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.

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Firm Stability Insights

Charles C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Clarence Smith JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

DYNETECH CAPITAL CORPORATION

PREMIERETRADE SECURITIES, INC.

PREMIERETRADE SECURITIES, INC.

OSAIC FS, INC.

INDEPENDENT FINANCIAL PLANNERS CORPORATION

Primary Firm SEC Registration

DELTA ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2009

Series 63

Date: 12/2/1985

Series 22

Date: 12/2/1985

Series 1

Date: 9/17/1979

Current Firm

DELTA ADVISORY GROUP, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA ADVISORY GROUP, INC.

TRUST BUT VERIFY

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