Unclaimed Profile

Richard Allen Smith

SMITH FINANCIAL INVESTMENT ADVISORS, INC.·KOKOMO, Indiana

SIE, Series 6, Series 62, Series 63ChFCClean record21 years registeredSMITH FINANCIAL INVESTMENT ADVISORS, INC.

1830 S. PLATE ST., KOKOMO, IN 46902CRD# 1353025Firm CRD# 154022

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Allen Smith · KOKOMO, IN

Registration

CRD #1353025 · SMITH FINANCIAL INVESTMENT ADVISORS, INC. · 21 years registered

Brand Profile

Not yet started

Career History

SMITH FINANCIAL

May 2011 – present

VALMARK ADVISERS, INC.

Nov 2008 – Sep 2010

KOKOMO, IN

NFP SECURITIES, INC.

Jan 2005 – Nov 2008

KOKOMO, IN

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 62

Series 63

Registration record

First registered · January 4, 2005

Years registered · 21

Professional designation · ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SMITH FINANCIAL INVESTMENT ADVISORS, INC.

CRD 154022 · SEC 801-71492

AUM

$333M

Regulatory assets under management

Employees

594 client accounts

Services offered by SMITH FINANCIAL INVESTMENT ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SMITH FINANCIAL INVESTMENT ADVISORS, INC. →

Introduction

Speak with Richard

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Richard is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in KOKOMO?

Browse all registered financial advisors in KOKOMO, Indiana or claim this profile if it's yours.

Browse KOKOMO Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Richard Allen Smith offer?

Richard Allen Smith specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in KOKOMO, Indiana for a consultation.

What are Richard Allen Smith's credentials?

Richard Allen Smith holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Richard Allen Smith located?

Richard Allen Smith is based in KOKOMO, Indiana, working with SMITH FINANCIAL INVESTMENT ADVISORS, INC.. Their office serves clients in the KOKOMO metropolitan area and surrounding communities.

How does Richard Allen Smith charge for services?

Richard Allen Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SMITH FINANCIAL INVESTMENT ADVISORS, INC.?

SMITH FINANCIAL INVESTMENT ADVISORS, INC. has approximately 5 employees and manages $333M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →