John Smith has been Vice President of First Nebraska Advisory since September 2018, is a control person of the firm and directly owns under 5% of it.
First Nebraska Advisory LLC is a North Platte, NE firm with $458M under management, 474 clients and 3 advisers in one office, as of its September 2026 filing.
John W. Smith is President of First Nebraska Financial Services Inc. He founded the firm in 1981 and has 30+ years in the financial services and insurance industries. He explains Core and Tactical investing with clients and is a registered representative who offers securities through Osaic Wealth Inc., with advisory services offered through First Nebraska Advisory, LLC.
John Smith’s longest registration was 18 years at Royal Alliance Associates, Inc. (2000–2019). Before joining First Nebraska Advisory in 2019, John Smith was registered through Royal Alliance Associates, Inc.
- – present · 7 yearsNorth Platte, NE · Adviser representative · Firm CRD 298667
- Royal Alliance Associates, Inc.– · 18 yearsNorth Platte, NE · Adviser representative · Firm CRD 23131
Investment adviser representative registrations
John Smith is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from April 2019; the most recent is Texas, in July 2019.
- NebraskaSince 5 April 2019
- TexasResidentSince 18 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 16 April 1983 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 January 1982 |
| Series 22 | Direct Participation Programs Representative Examination | 27 July 1981 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 26 June 1981 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Warren Smith
- CRD
- 1005687
- Firm
- First Nebraska Advisory · CRD 298667
- Role
- Vice President
- Office
- 202 W. 2ND ST., North Platte, NE 69101
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1981
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- firstnebraskafinancial.com
Where does John Smith work?
John Smith has been Vice President of First Nebraska Advisory LLC since September 2018, and is a control person of the firm.
Is John Smith a financial advisor?
Yes. John Smith has a current investment-adviser registration in Nebraska and Texas, through First Nebraska Advisory since April 2019.
How many years of experience does John Smith have?
John Smith has 45 years in the financial industry, since July 1981, across 2 adviser firms.
What exams has John Smith passed?
John Smith has passed 4 licensing exams: the Series 6, Series 22, Series 63 and Series 7. The earliest, the Series 6, was passed in June 1981. FINRA credited John Smith with the SIE, which began in October 2018.
Where is John Smith based?
John Smith’s registered office is in North Platte, NE.
Is John Smith registered with FINRA?
Yes. John Smith has a current broker registration, under CRD 1005687.
Source: FINRA BrokerCheck
How can I verify John Smith’s record?
Search CRD 1005687 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Smith’s full registration record.