Charles Alexander Smith

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 10/2014 → 03/2020
  Ameriprise Financial Services, Inc.
  Gilbert, AZ
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Gilbert, AZ

Previous Registrations

• 2007-10-16 → 2014-10-30
  Lpl Financial Llc
  Gilbert, AZ
  Mesa, AZ
  Fort Mill, SC
• 2008-06-03 → 2014-10-23
  Academy Advisors, Llc
  Mesa, AZ
• 2004-11-04 → 2007-10-31
  1St Global Advisors Inc
  Mesa, AZ
• 2003-12-02 → 2004-11-05
  Mony Securities Corporation
  Mesa, AZ
• 2003-06-17 → 2003-12-02
  Trusted Securities Advisors Corp.
  Mesa, AZ

Other Businesses

Real Estate Ownership; Multi-Family; 999 N Pacific Street #A314, , Oceanside, CA, 92054; Investment-Related; 11/23/2010 / Single Family; 649 Rose Creek Ranch Rd, , Young, AZ, 85554; Investment-Related; 11/07/2014. Independent Insurance Brokering; American General Life Services Co LLC; 01/01/2005; / Lloyd's; 01/01/2005; / Delaware Charter Guarantee & Trust Co (DBA Principal Trust Company); 01/01/2005; / Prudential Insurance Co of America; 01/01/2005; / Nationwide Life and Annuity Ins Co; 01/01/2005; / Standard Insurance Company; 01/01/2005; / Accordia Life and Annuity Company; 01/01/2005; / John Hancock Life Ins Co USA; 01/01/2005; / Lincoln National Life Ins Co; 01/01/2005; . Business Ownership; NCVA314 LLC; Manager & Member; NCVA314 LLC is owned by 4 parties, none of whom is a financial services client. 25% of NCVA314 LLC is owned by the Charles A. Smith and Angela A. Smith Living Trust, dtd 7/3/07. This entity serves solely as the holding company for a vacation condo located at 999 N. Pacific Street, #A314, Oceanside, CA 92054. website: www.beachcondonow.com and listed at www.homeaway.com/922512; 2002 E Dias Drive, , Gilbert, AZ, 85234; Investment-Related; 11/25/2009; 1 to 9 hours per month; 1 to 9 during trading hours / Rose Creek Ranch Group LLC; Member & Manager; Rose Creek Ranch Group LLC is owned by 6 parties. Its primary purpose is to own a mountain cabin located on 649 Rose Creek Ranch Rd, Young, AZ 85554; 2002 E Dias Drive, , Gilbert, AZ, 85234; Investment-Related; 11/07/2014; 1 to 9 hours per month; 0 during trading hours / Academy Advisors, LLC; President & Member; Academy Advisors, LLC is owned 100% by the Charles A. Smith and Angela A. Smith Living Trust, dtd 7/3/07. Academy Advisors, LLC is the entity that holds my financial planning business. It is also a de-listed RIA. Only renewals and trail commission from fixed insurance flows through here from old business (pre-Ameriprise). It is the entity that captures all unreimbursed expense relative to my financial planning practice. It is the entity that holds the rights to all branded material of the same name. It is the entity that employs me and my wife for tax planning purposes.; 2002 E Dias Drive, , Gilbert, AZ, 85234; Investment-Related; 12/01/2000; 10 to 19 hours per month; 1 to 9 during trading hours / Alexander Farms LLC; Manager & Member; Alexander Farms, LLC is 100% owned by the Charles A. Smith and Angela A. Smith Living Trust, dtd 7/3/07. Alexander Farms LLC was created for investment in personal private equity transactions. In addition, I provide management consulting (non-listed securities related) to other entities. None of these entities or persons is a client of any financial service firm I am affiliated with. In addition, this entity is used to capture expenses not reported elsewhere for tax purposes.; 2002 E Dias Drive, , Gilbert, AZ, 85234; Investment-Related; 10/17/2003; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Estate Planning Team Inc; Introduce Deferred Sales Trust planning concept to clients; 45110 Club Drive, Suite B, , Indian Wells, CA, 92210; Investment-Related; 01/01/2022; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2003-06-16
• S65 Uniform Investment Adviser Law Examination
  2000-05-08
• S63 Uniform Securities Agent State Law Examination
  1999-06-19

Other Names

• Chuck Smith
• Charles Alexander Smith