Richard Smith, financial advisor Kokomo IN
96 score

Richard Smith

CRD Number: 1353025
Current Firm: Smith Financial Investment Advisors, Inc.

Richard Smith (CRD# 1353025) is an Investment Advisor Representative working at Smith Financial Investment Advisors, Inc. in Kokomo, IN and has over 32 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Mercap Securities, LLC Paoli, PA Jan 2014 - Current 4
Smith Financial Corp. Kokomo, IN Jan 1985 - Current 33
Financial Service Center Kokomo, IN Jan 1984 - Current 34
Nfp Securities, Inc. Kokomo, IN Aug 2010 - Jan 2014 3
Valmark Securities, Inc. Akron, OH Nov 2008 - Aug 2010 1
Valmark Advisers, Inc. Akron, OH Nov 2008 - Aug 2010 1
Nfp Securities, Inc. Austin, TX Jun 2000 - Nov 2008 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1985
Contact Info for Richard A. Smith
Phone Number: 765-459-4111
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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