Ronald Theodore Smith

Current Employers

4Th River Financial Group, Inc.

7500 Brooktree Rd Suite 100, Wexford, PA 15090 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-06-24
PA	RA	APPROVED	2009-03-19

FL RA
APPROVED

Since 2026-06-24
PA RA
APPROVED

Since 2009-03-19

Branch Locations

7500 Brooktree Rd Suite 100, Wexford, PA 15090 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Whitney & Associates	Clive	IA	11/2016	Present
Financial Independence Group	Cornelius	NC	03/2009	Present
4Th River Financial Group, Inc.	Mars	PA	03/2009	Present

11/2016 → Present

Whitney & Associates

Clive, IA
03/2009 → Present

Financial Independence Group

Cornelius, NC
03/2009 → Present

4Th River Financial Group, Inc.

Mars, PA

Other Businesses

Mr. Ronald Theodore Smith is an Insurance Agent for Whitney & Associates located at 2183 NW 8th Street Suite C Clive, IA 50325 and Financial Independence Group, Inc. located at 19520 West Catawba Ave Suite 2001 Cornelius, North Carolina 28031.These are insurance and annuity marketing agencies used for providing insurance and annuity products to existing clients and to develop leads for new financial services clientele. Approximately 10 hrs per month is spent on these activities.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-03-06
S63	Uniform Securities Agent State Law Examination	1994-08-12

S65 Uniform Investment Adviser Law Examination

2009-03-06
S63 Uniform Securities Agent State Law Examination

1994-08-12