Richard Allen Smith

Current Employers

Employment History

• 01/1984 → Present
  Financial Service Center
  Kokomo, IN
• 01/1985 → Present
  Smith Financial Corp.
  Kokomo, IN
• 01/2014 → Present
  Mercap Securities, Llc
  Paoli, PA

Previous Registrations

• 2008-11-19 → 2010-09-01
  Valmark Advisers, Inc.
  Kokomo, IN
• 2005-01-04 → 2008-11-20
  Kestra Investment Services, Llc
  Kokomo, IN
  Kokomo, IN

Other Businesses

1. NAME OF BUSINESS:SMITH FINANCIAL/ROCKE SMITH, 1830 S. PLATE STREET, KOKOMO, IN 46902.765-459-4111. NO EMAIL. THIS IS AN LLC. NATURE OF BUSINESS:INSURANCE SALES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:PRESIDENT. DUTIES:SALES. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:87. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:87. DATE STARTED:1985. FINANCIAL INTEREST IN THIS BUSINESS:YES, OWNER. HOW COMPENSATED:NET INCOME FROM BUSINESS; PRIMARILY CONSISTS OF COMMISSION SALES. 2.SMITH FINANCIAL INVESTMENT ADVISORS, INC. 1830 S. PLATE STREET, KOKOMO, IN 46902. 765-459-4111. NO EMAIL. THIS BUSINESS IS A CORPORATION. NATURE OF BUSINESS:REGISTERED INVESTMENT ADVISOR. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:PRESIDENT,INVESTMENT ADVISOR REPRESENTATIVE. DUTIES:MEETINGS WITH CLIENTS, FINANCIAL PLAN PREPARATION. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:87. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:87. DATE STARTED:6/2010. FINANCIAL INTEREST IN THIS BUSINESS:YES, OWNER. HOW COMPENSATED:NET PROFIT OF BUSINESS, WHICH IS PRIMARILY INVESTMENT ADVISORY AND FINANCIAL PLANNING FEES. 3. NAME OF BUSINESS:COMMUNITY FOUNDATION OF HOWARD COUNTY, INC. 215 W. SYCAMORE, KOKOMO, IN 46902. 765-454-7298. NO EMAIL. THIS BUSINESS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:COMMUNITY FOUNDATION. IS THIS BUSINESS INVESTMENT RELATED:YES. TITLE:BOARD MEMBER, FINANCE COMMITTEE MEMBER. DUTIES:VOTE ON FOUNDATION ISSUES, ASSIST IN INVESTMENT DECISION MAKING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:3. DATE STARTED:1/1997. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE. 4. NAME OF BUSINESS:YMCA OF KOKOMO CAPITAL CAMPAIGN COMMITTEE, 200 N. UNION ST, KOKOMO, IN 46901 765-457-4447, THIS IS A CHARITABLE ORGANIZATION. NATURE OF BUSINESS:YOUTH SERVICES, FAMILY SERVICES. IS THIS BUSINESS INVESTMENT RELATED:NO. TITLE:COMMITTEE MEMBER. DUTIES:FUNDRAISING. APPROX. # OF HOURS PER MONTH DEVOTED TO THIS ACTIVITY:3. # OF HOURS DEVOTED TO THIS ACTIVITY DURING SECURITIES TRADING HOURS:2. FINANCIAL INTEREST IN THIS BUSINESS:NO. HOW COMPENSATED:NONE.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-08-26

Designations