Charles SmithCRD Number: 871804
Current Firm: Delta Advisory Group, Inc.
Charles Smith (CRD# 871804) is an Investment Advisor Representative working at Delta Advisory Group, Inc. in Orlando, FL and has over 32 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Tuscan Gardens||Orlando, FL||Jan 2015 - Current||3|
|Delta Advisory Services, Inc.||Orlando, FL||Jan 1996 - Current||22|
|Delta Advisory Services, Inc.||Orlando, FL||Oct 1994 - Current||23|
|Delta Research Institute, Inc.||Orlando, FL||Jan 1992 - Current||26|
|Charles C. Smith, Jr., P.a.||Orlando, FL||May 1978 - Current||39|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1985|
|S65||NASAA Investment Advisors Law Examination||Jun 2009|
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
Total Assets Under Management31MILLIONS
Total Number of Accounts436ACCOUNTS
Average Account Value$70,419
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
CA, FL, GA, IL, KS, MI, MN, NC, NY, OH, OR, PA, SC, TX, WI