Richard Smith has been President of Smith Financial Investment Advisors since May 2010, is a control person of the firm and directly owns 75% or more of it.
Smith Financial Investment Advisors, Inc. is a Kokomo, IN firm with $457M under management, 159 clients and 5 advisers in one office, as of its March 2026 filing.
Richard Smith’s longest registration is the current one, 15 years at Smith Financial Investment Advisors since 2011. Before joining Smith Financial Investment Advisors in 2011, Richard Smith was registered through Valmark Advisers, Inc. and NFP Securities, Inc.
- Valmark Advisers, Inc.– · 1 yearKokomo, IN · Adviser representative · Firm CRD 108050
- NFP Securities, Inc.– · 3 yearsKokomo, IN · Adviser representative · Firm CRD 42046
Investment adviser representative registrations
Richard Smith is registered as an investment adviser representative in Indiana, since May 2011.
- IndianaSince 17 May 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 62 | Corporate Securities Limited Representative Examination | 29 August 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 August 1985 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 June 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Allen Smith
- CRD
- 1353025
- Firm
- Smith Financial Investment Advisors · CRD 154022
- Role
- President
- Office
- 1830 S. PLATE ST., Kokomo, IN 46902
- Registration
- Investment adviser registration
- In the industry since
- June 1985
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Smith work?
Richard Smith has been President of Smith Financial Investment Advisors, Inc. since May 2010, and is a control person of the firm.
Is Richard Smith a financial advisor?
Yes. Richard Smith has a current investment-adviser registration in Indiana, through Smith Financial Investment Advisors since May 2011.
How many years of experience does Richard Smith have?
Richard Smith has 41 years in the financial industry, since June 1985, across 3 adviser firms.
What exams has Richard Smith passed?
Richard Smith has passed 3 licensing exams: the Series 6, Series 63 and Series 62. The earliest, the Series 6, was passed in June 1985. FINRA credited Richard Smith with the SIE, which began in October 2018.
Where did Richard Smith work before Smith Financial Investment Advisors?
Before Smith Financial Investment Advisors, Richard Smith was registered through Valmark Advisers, Inc., November 2008 to September 2010; NFP Securities, Inc., January 2005 to November 2008.
Where is Richard Smith based?
Richard Smith’s registered office is in Kokomo, IN.
Is Richard Smith registered with FINRA?
No. Richard Smith has no current broker registration.
How can I verify Richard Smith’s record?
Search CRD 1353025 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Smith’s full registration record.