Charles Clarence Smith Jr
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Buddy Smith, Charles C Smith Jr
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Videos & Posts
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Contact Information
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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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC
Contact Information
Main Address
698 N Maitland Avenue Ste 201, Maitland, FL 32751Phone Number
(407) 331-9213# of Employees
8SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
930AUM (Assets Under Management)
$216,326,482Similar 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.
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Primary Firm SEC Registration
DELTA ADVISORY GROUP, INC. | DELTA ADVISORY SERVICES, INC. | DELTA ADVISORY SERVICES INC
State Registrations and Notice Filings
(10/20/2009)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 1985About the Series 22 examSeries 1 — Registered Representative Examination
Passed Sep 1979Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Charles Clarence Smith JR's CRS (Customer Relationship Summary).
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