Charles Smith has been Chairman, President of Delta Advisory Group since January 1996, is a control person of the firm and directly owns under 5% of it. Charles Smith studied at the University of South Carolina.
Delta Advisory Group, Inc. is a Maitland, FL firm with $216M under management, 468 clients and 5 advisers across 2 offices, as of its March 2026 filing.
Charles (Buddy) Smith Jr. is Founder & President of Delta Advisory Group, Inc., based in Maitland, FL. Over a business career of more than 40 years, he has been a principal party in the formation, capitalization and operational aspects of business enterprises in wealth management, commercial retail development, senior living housing, and banking.
Charles Smith’s longest registration was 18 years at Premieretrade Securities, Inc. (1987–2005). Before joining Delta Advisory Group in 2009, Charles Smith was registered through Dynetech Capital Corporation and Premieretrade Securities, Inc.
- Delta Advisory Group, Inc.Current– present · 17 yearsMaitland, FL · Adviser representative · Firm CRD 105966
- Dynetech Capital Corporation– · under a yearOrlando, FL · Adviser representative · Firm CRD 149557
- Premieretrade Securities, Inc.– · 18 yearsAltamonte Springs, FL · Adviser representative · Firm CRD 16776
Investment adviser representative registrations
Charles Smith is registered as an investment adviser representative in 2 states. The first approvals date from October 2009; the most recent is Texas, in May 2018.
- FloridaSince 20 October 2009
- TexasSince 7 May 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 June 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 December 1985 |
| Series 22 | Direct Participation Programs Representative Examination | 2 December 1985 |
| Series 1 | Registered Representative Examination | 17 September 1979 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Registered Representative Examination
- Full name
- Charles Clarence Smith
- CRD
- 871804
- Firm
- Delta Advisory Group · CRD 105966
- Role
- Chairman, President
- Office
- 698 N MAITLAND AVENUE, STE 201, Maitland, FL 32751
- Registration
- Investment adviser registration
- In the industry since
- December 1990
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- deltaadvisory.com
Where does Charles Smith work?
Charles Smith has been Chairman, President of Delta Advisory Group, Inc. since January 1996, and is a control person of the firm.
Is Charles Smith a financial advisor?
Yes. Charles Smith has a current investment-adviser registration in Florida and Texas, through Delta Advisory Group since October 2009.
How many years of experience does Charles Smith have?
Charles Smith has 35 years in the financial industry, since December 1990, across 3 adviser firms.
What exams has Charles Smith passed?
Charles Smith has passed 4 licensing exams: the Series 1, Series 63, Series 22 and Series 65. The earliest, the Series 1, was passed in September 1979.
Where did Charles Smith work before Delta Advisory Group?
Before Delta Advisory Group, Charles Smith was registered through Premieretrade Securities, Inc., July 1987 to December 2005.
Where is Charles Smith based?
Charles Smith’s registered office is in Maitland, FL.
Is Charles Smith registered with FINRA?
No. Charles Smith has no current broker registration.
How can I verify Charles Smith’s record?
Search CRD 871804 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Smith’s full registration record.
