Robert A Smith

Current Employers

Employment History

• 11/2014 → 03/2017
  Metlife Securities
  Irvine, CA
• 03/2017 → 02/2024
  Mml Investors Services, Llc
  Costa Mesa, CA
• 07/2016 → 02/2024
  Massmutual Life Insurance Co
  Costa Mesa, CA
• 02/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 02/2024 → Present
  Sovran Advisors Llc - Crd 329415
  Costa Mesa, CA
• 02/2021 → Present
  Go Fast Take Chances
  Laguna Niguel, CA
• 03/2015 → Present
  Omega Wealth Strategies
  Costa Mesa, CA

Previous Registrations

• 2017-03-25 → 2024-03-06
  Mml Investors Services, Llc
  Costa Mesa, CA
• 2014-11-21 → 2017-03-25
  Msi Financial Services, Inc.
  Irvine, CA
• 2009-08-24 → 2014-11-24
  Securian Financial Services, Inc.
  Newport Beach, CA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2008; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 03/2024; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: 3(38) SERVICES, FINANCIAL PLANNING AND ASSET MANAGEMENT; 3. NAME OF OTHER BUSINESS: GO FAST TAKE CHANCES; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL ADDRESS; NATURE OF BUSINESS: EXTREME SPORTS LIFE STYLE APPAREL; START DATE: 02/2021; POSITION/TITLE/RELATIONSHIP: PRESIDENT / OWNER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MANAGING SALES, DESIGN, AND MARKETING; 4. NAME OF OTHER BUSINESS: OMEGA WEALTH STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT AND FINANCIAL SERVICES; START DATE: 03/2015; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 50; BRIEF DESCRIPTION OF DUTIES: DAY TO DAY OPERATIONS OF WEALTH ADVISORY PRACTICE;

Exams

• S66 Uniform Combined State Law Examination
  2009-07-28
• S65 Uniform Investment Adviser Law Examination
  1997-06-03
• S63 Uniform Securities Agent State Law Examination
  1996-12-30

Designations

Other Names

• Robert Smith
• Robert Alan Smith