George Smith has been CEO/CCO of Ridgegate Advisors since December 2022, is a control person of the firm and directly owns 75% or more of it.
Ridgegate Advisors, LLC is an Englewood, CO firm with $119M under management, 206 clients and 7 advisers in one office, as of its March 2026 filing.
Wallace Smith is Founder, CEO and Investment Advisor of Ridgegate Financial. He worked in the engineering field for a couple of years before starting a consulting firm to help business owners realize, launch and deliver their businesses. That work took him through markets including fitness equipment and marketing, publishing, and strategic alliance with foreign investment.
George Smith’s longest registration was 12 years at Ridgegate Financial, LLC (2009–2022). Before joining Ridgegate Advisors in 2025, George Smith was registered through Ae Wealth Management, LLC and Ridgegate Financial, LLC.
- Ridgegate Advisors, LLCCurrent– present · 1 yearEnglewood, CO · Adviser representative · Firm CRD 334233
- Ae Wealth Management, LLC– · 5 yearsEnglewood, CO · Adviser representative · Firm CRD 282580
- Ridgegate Financial, LLC– · 12 yearsGreenwood Village, CO · Adviser representative · Firm CRD 148526
- Simondavis Asset Management, Inc.– · 3 yearsDenver, CO · Adviser representative · Firm CRD 133535
- Senior Finance & Health, LLC– · under a yearHighlands Ranch, CO · Adviser representative · Firm CRD 132655
Professional designations
Listed by Ridgegate Advisors
- Chartered Financial Consultant (ChFC®)
Investment adviser representative registrations
George Smith is registered as an investment adviser representative in 3 states, as a resident of Texas. Each was approved in July 2025.
- CaliforniaSince 28 July 2025
- ColoradoSince 29 July 2025
- TexasResidentSince 29 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 11 June 2020 |
| Series 7TO | General Securities Representative Examination | 11 February 2020 |
| Series 22TO | Direct Participation Programs Representative Examination | 7 October 2019 |
| SIE | Securities Industry Essentials Examination | 4 May 2019 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 June 2004 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- George Wallace Smith
- CRD
- 4844156
- Firm
- Ridgegate Advisors · CRD 334233
- Role
- CEO/CCO
- Office
- 8310 S VALLEY HIGHWAY, SUITE 480, Englewood, CO 80112
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- ridgegatefinancial.com
Where does George Smith work?
George Smith has been CEO/CCO of Ridgegate Advisors, LLC since December 2022, and is a control person of the firm.
Is George Smith a financial advisor?
Yes. George Smith has a current investment-adviser registration in California, Colorado and Texas, through Ridgegate Advisors since July 2025.
How many years of experience does George Smith have?
George Smith has 20 years in the financial industry, since March 2006, across 5 adviser firms.
What exams has George Smith passed?
George Smith has passed 5 licensing exams: the Series 65, SIE, Series 22TO, Series 7TO and Series 63. The earliest, the Series 65, was passed in June 2004.
Where did George Smith work before Ridgegate Advisors?
Before Ridgegate Advisors, George Smith was registered through Ridgegate Financial, LLC, August 2009 to April 2022; Simondavis Asset Management, Inc., March 2005 to March 2008; Senior Finance & Health, LLC, September 2004 to February 2005.
Where is George Smith based?
George Smith’s registered office is in Englewood, CO.
Is George Smith registered with FINRA?
Yes. George Smith has a current broker registration, under CRD 4844156.
Source: FINRA BrokerCheck
How can I verify George Smith’s record?
Search CRD 4844156 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish George Smith’s full registration record.