RS
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Roderic Smith
37 Years of Experience
Newport Beach, CA
1 DisclosureBroker
Roderic Smith is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Newport Beach, CA, with 37 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
4770 Campus Drive, Suite 210, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
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Customer Dispute
January 2002Denied
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
January 2020 - Present · 6 yrs 4 mos
Raymond James Financial Services Advisors, INC
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
April 2012 - January 2020 · 7 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
April 2012 - January 2020 · 7 yrs 9 mos
Lincoln Financial Securities Corporation
May 2003 - April 2012 · 8 yrs 11 mos
Lincoln Financial Securities CorporationBroker
May 1995 - April 2012 · 16 yrs 11 mos
Pruco Securities CorporationBroker
January 1989 - April 1995 · 6 yrs 3 mos
The Prudential Insurance Company of AmericaBroker
January 1989 - December 1993 · 4 yrs 11 mos
State Registrations28 states
ALAZCACOFLGAHIIDINMDMEMNNCNENVNYOHORPASCSDTNTXUTVAWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.