Roderic Lamarr Smith

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2012 → 01/2020
  Wells Fargo Advisors
  Irvine, CA
• 01/2020 → Present
  Raymond James Financial Services Advisors, Inc.
  Newport Beach, CA
• 01/2020 → Present
  Raymond James Financial Services, Inc.
  Newport Beach, CA
• 01/2020 → 03/2023
  Concurrent Advisors
  Newport Beach, CA

Previous Registrations

• 2012-04-17 → 2020-01-22
  Wells Fargo Clearing Services, Llc
  Irvine, CA
• 2003-05-29 → 2012-04-26
  Osaic Fs, Inc.
  Norwalk, CA
  Riverside, CA

Other Businesses

(1) Name of Business: Advanced Planning Wealth Management Group Address: 4770 Campus Dr Ste 210, Newport Beach, CA Activity Type: Support Company/DBA (Owner) Position/Title: Other Investment Related: No Start Date: 01/17/2020 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Financial Advisor

Exams

• S66 Uniform Combined State Law Examination
  2002-04-16
• S63 Uniform Securities Agent State Law Examination
  2000-04-28

Other Names

• Roderic Lamarr Smith
• Rod Lamarr Smith
• Roderic Lamar Smith
• Rod Lamarr Smith
• Roderic Lamarr (Sr) Smith