Roderic Smith
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. Roderic is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.
Fee Estimator
Location
4770 Campus Drive, Suite 210, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2002Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations29 states
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
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