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ChFC
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ChFC

Ronald Smith

LPL Financial LLC
55 Years of Experience
Powhatan, VA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Ronald Smith is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Powhatan, VA, with 55 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3923 Old Buckingham Rd, Powhatan, VA, 23139

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
June 2005
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ronald is the owner of Capital Management Advisory Inc., working as an investment advisor, dedicating nearly full-time hours to securities trading. He also works as an agent for the same company, selling life and health insurance and fixed annuities, dedicating a few hours per week.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Next Financial Group, INC.Broker
July 2005 - July 2025 · 20 yrs
Next Financial Group, INC.
July 2005 - July 2025 · 20 yrs
Securities America Advisors, INC.
December 2003 - June 2005 · 1 yr 6 mos
Securities America, INC.Broker
October 2003 - June 2005 · 1 yr 8 mos
Capital Management Advisery INC.
October 1997 - December 2003 · 6 yrs 2 mos
Transamerica Financial Advisors, INC.Broker
September 1995 - October 2003 · 8 yrs 1 mo
Mutual Service CorporationBroker
January 1989 - September 1995 · 6 yrs 8 mos
Manequity, INC.Broker
June 1978 - February 1995 · 16 yrs 8 mos
Provident National Equities, INC.Broker
March 1977 - August 1978 · 1 yr 5 mos
Southwestern Management & Research CorporationBroker
April 1971 - July 1976 · 5 yrs 3 mos
Southwestern Life Insurance CompanyBroker
July 1970 - August 1971 · 1 yr 1 mo
State Registrations5 states
CAFLNCTNVA
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.
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