Unclaimed Profile

Norman Richard Smith

NR SMITH & ASSOCIATES, P.S.·OLYMPIA, Washington

Series 7, Series 63Clean record35 years registeredNR SMITH & ASSOCIATES, P.S.

2120 CATON WAY S.W., OLYMPIA, WA 98502-1106CRD# 1293983Firm CRD# 116894

Profile Verification

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

Identity

Norman Richard Smith · OLYMPIA, WA

Registration

CRD #1293983 · NR SMITH & ASSOCIATES, P.S. · 35 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NR SMITH & ASSOCIATES, P.S.

NR SMITH AND ASSOCIATES, P.S.

Nov 1990 – Jan 2023

OLYMPIA, WA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · November 1, 1990

Years registered · 35

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NR SMITH & ASSOCIATES, P.S.

CRD 116894 · SEC 801-67218

AUM

$33M

Regulatory assets under management

Employees

80 client accounts

Services offered by NR SMITH & ASSOCIATES, P.S.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at NR SMITH & ASSOCIATES, P.S. →

Introduction

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Frequently Asked Questions

What services does Norman Richard Smith offer?

Norman Richard Smith specializes in Financial Planning, Investment Management.

What are Norman Richard Smith's credentials?

Norman Richard Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Norman Richard Smith located?

Norman Richard Smith is based in OLYMPIA, Washington, last registered with NR SMITH & ASSOCIATES, P.S..

How does Norman Richard Smith charge for services?

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

How large is NR SMITH & ASSOCIATES, P.S.?

NR SMITH & ASSOCIATES, P.S. has approximately 6 employees and manages $33M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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