Russell Alan Smith

Employer firm

Regal Investment Advisors LLC CRD 125004

$2.88B regulatory AUM 61 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

• 02/1991 → 01/2017
  Ras Financial Services
  Canyon Lake, CA
• 07/2003 → 01/2017
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 07/2003 → 01/2017
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/1999 → Present
  Torimax Financial Group
  Canyon Lake, CA
• 01/2017 → Present
  Regulus Financial Group, Llc
  Kentwood, MI
• 01/2017 → Present
  Regal Investment Advisors, Llc
  Kentwood, MI

Previous Registrations

• 2003-07-08 → 2017-01-30
  Cetera Investment Advisers Llc
  Canyon Lake, CA
• 1997-07-08 → 2003-07-08
  Fsc Securities Corporation
  Canyon Lake, CA

Other Businesses

TORIMAX FINANCIAL GROUP, INC.; NOT INV RELATED; CANYON LAKE, CA; SALES OF FIXED PRODUCTS; PRESIDENT & CEO; STATE DATE 01/1999; 80HRS/MNTH 50 HRS DURING SECURITY TRADING HRS: 2)TORIMAX FINANCIAL GROUP, INC; NON-INV. RELATED; CANYON LAKE, CA; SALE OF FIXED DEFERRED AND IMMEDIATE ANNUITIES WITH THE CARRIER ALLIANZ; PRESIDENT & CEO; NO NEW BUSINESS TRANSACTED; SINCE 1999; 80 HRS/MONTH; 50 HRS/MONTH DURING SECURITIES TRADING HOURS:

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-10-14

Designations

• Certified Financial Planner
• Chartered Financial Consultant