Robert Smith, financial advisor Birmingham AL
86 score

Robert Smith

CRD Number: 1321602
Current Firm: Bbva Wealth Solutions Inc.

Robert Smith (CRD# 1321602) is an Investment Advisor Representative working at Bbva Wealth Solutions Inc. in Birmingham, AL and has over 30 years of experience in the finance industry. Robert Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Bbva Wealth Solutions Inc. Birmingham, AL Apr 2015 - Current 1
Compass Bank Birmingham, AL Mar 2015 - Current 1
Bbva Securities Inc. Birmingham, AL Mar 2015 - Current 1
Bbva Compass Insurance Agency, Inc. Austin, TX Mar 2015 - Current 1
Wells Fargo Advisors, LLC Birmingham, AL Feb 2013 - Mar 2015 2
Bbva Wealth Solutions Inc. Houston, TX Oct 2010 - Feb 2013 2
St. Johns Investment Management Company Birmingham, AL Jul 2010 - Oct 2010 < 1
Bbva Compass Investment Solutions, Inc. Birmingham, AL Oct 1987 - Oct 2010 23
Compass Bank Birmingham, AL Oct 1987 - Oct 2010 23
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1986
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Robert D. Smith
Phone Number: 713-552-9277
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    361
    MILLIONS
  • Total Number of Accounts
    918
    ACCOUNTS
  • Average Account Value
    $393,188
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, FL, GA, HI, IA, IL, IN, KS, LA, MI, NC, NJ, NM, NV, NY, OH, OR, PA, SC, SD, TN, TX, VA, WA, WI

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BADGES
86

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