John Smith, financial advisor North Platte NE
93 score

John Smith

CRD Number: 1005687
Current Firm: Royal Alliance Associates, Inc.

John Smith (CRD# 1005687) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in North Platte, NE and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Royal Alliance Associates, Inc. North Platte, NE Nov 1989 - Current 27
First Nebraska Financial Services, Inc. North Platte, NE Jan 1981 - Current 35
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1982
Contact Info for John W. Smith
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • NE
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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